Senior U.S. Transfer Agent Services Analyst

Allspring Global Investments Holdings, LLC•Milwaukee, WI

2d•$80,000 - $90,000•Hybrid

About The Position

The Senior U.S. Transfer Agent Services Analyst plays a critical role in supporting transfer agent oversight, regulatory compliance, audit readiness, and complex shareholder servicing activities. This role focuses on subject‑matter expertise, issue resolution, and cross‑functional coordination. We currently operate in a hybrid working model, whereby you will be required to work in-office 4 days per week. Location(s): Milwaukee, WI

Requirements

Bachelor’s degree.
8+ years in TA oversight with focus on regulatory operations.
Strong knowledge of mutual fund operations and regulatory requirements.
Familiarity with BSA/AML, Reg S‑P, Identity Theft/Red Flags, and escheatment.
Experience with subpoena review and response, court orders, and complex shareholder servicing.
Strong analytical, communication, and documentation skills.
Demonstrated ability to manage complex issues independently.
Excellent communication, negotiation, and critical thinking skills.

Nice To Haves

Experience with third‑party transfer agents such as SS&C.
Vendor risk management experience.
Understanding of fund structures.
Proven ability to deliver clear, compelling oral and written presentations to diverse audiences, including senior leadership and external partners.
Highly organized and diligent, with a proactive and self-motivated approach to problem-solving.
Flexible and adaptable, with a positive attitude toward change and the ability to manage shifting priorities and workloads.

Responsibilities

Serve as a key liaison with Legal, Compliance, and Audit on transfer agent matters.
Coordinate responses to subpoenas, court orders, liens, fiduciary matters, and related inquiries.
Support internal and external audits, including documentation, testing coordination, and remediation tracking.
Maintain and enhance policies, procedures, and governance documentation supporting TA compliance.
Support AML program activities including audits, CIP/CDD escalations, and suspicious activity reviews.
Assist with Reg S‑P privacy updates, annual notices, and documentation controls.
Contribute to business risk assessments, fraud analysis, and control enhancement initiatives.
Independently analyze and resolve complex escalations, exceptions, and shareholder issues.
Monitor and support transfer agent service delivery and adherence to SLAs and controls.
Participate in and support business unit risk assessments, including data gathering, analysis, documentation, and coordination with Risk and Compliance partners.
Identify fraud, risk, and control trends, emerging issues, and recommend enhancements for management review.
Execute compliance updates, including research, documentation, and coordination with service providers and internal stakeholders to ensure adherence to regulatory requirements.
Independently resolve issues and support escalation processes, ensuring risks are clearly identified, documented, communicated, and tracked through remediation in accordance with established controls and timelines.
Participate in workflow optimization, technology enhancements, and process simplification initiatives.
Support onboarding of new products or services from a TA operations perspective.