Transfer Agency, Assistant Vice President
About The Position
This role is responsible for validating and reviewing all daily activity while maintaining required controls. The Assistant Vice President will research and resolve exceptions and issues, and handle inquiries in a timely and accurate manner, communicating effectively with clients when necessary. The position involves defining and ensuring the completion of ad-hoc requests, escalating unresolved issues to management, and reconciling discrepancies with other teams. Key duties include ensuring appropriate records of daily and monthly activities are kept, performing daily or weekly reporting functions, and ensuring adherence to Standard Operating Procedures. The role requires staying updated on broader internal/external business issues and applying that knowledge across the team. Additionally, the Assistant Vice President will assist management in implementing new policies and procedures, participate in projects, and support workflow management and technology enhancements, making suggestions to streamline operations and maintaining knowledge of current alternative procedures and processes. Support for training new hires is also expected. In the course of daily operations, the individual is responsible for identifying unusual or potentially suspicious transaction activity and reporting/escalating it according to policy. The role may involve performing duties of Associates and providing back-up management support. Compliance support to Institutional TA and project contributions in a fast-paced environment are also part of the responsibilities. Tasks related to regulatory and tax requirements, including tax form and certificate production, AML investor authorization services, Rule 22c-2 services, legal review, and coordination of internal and external audit requests, will be performed. Other duties as assigned.
Requirements
- BS/BA required
- 5-7 years of financial services experience
- 3+ years of management experience
- Operational background
- Demonstrated skills in problem assessment and solutioning, as well as ability to work in a collaborative fashion to solve complex issues
- Excellent communication skills, both written and verbal, necessary for interactions internally and with our clients
- Exceptional interpersonal skills, with ability to build trust and forge good working relationships with senior leaders
- Proven ability to achieve results, with persistence and influence, as necessary
- Promoting teamwork within the department and across the organization
- Ability to execute on multiple priorities simultaneously; driving execution and delivering results
- Demonstrated ability to motivate employees, build teams/relationships, and manage/lead successfully in a global/matrix environment
- Energetic approach with constant focus on how we can better service our clients every day
Responsibilities
- Validate and review all daily activity while maintaining all required controls
- Research and resolve exceptions and issues
- Receive and resolve inquiries in a timely and accurate manner and communicates effectively with client when necessary
- Define and ensure successful completion of ad-hoc requests
- Escalate unresolved issues to management as required
- Reconcile and resolve discrepancies with other teams as needed
- Ensure appropriate records of daily and monthly activities are kept
- Perform daily or weekly reporting functions for the team’s activities
- Ensure adherence to Standard Operating Procedures
- Keep up to date on broader internal/external business issues; apply knowledge across team
- Assist management in the implementation of new policies and procedures, participate in projects
- Assist with workflow management and technology enhancements
- Make suggestions to streamline operations
- Maintain knowledge of current alternative procedures and processes
- Support training of new hires as necessary
- Perform duties of Associates and provide back-up management support if required
- Provide Compliance support to the Institutional TA and contribute to projects in a fast-paced environment
- Perform tasks related to regulatory and tax requirements, including tax form and certificate production, AML investor authorization services, Rule 22c-2 services, legal review and coordination of internal and external audit request fulfillment
- Perform other duties as assigned
Benefits
- competitive and comprehensive benefits packages
- generous medical care
- insurance
- savings plans
- flexible Work Program
- wealth of development programs
- educational support
- paid volunteer days
- matching gift program
- access to employee networks
- retirement savings plan (401K) with company match
- insurance coverage including basic life, medical, dental, vision, long-term disability, and other optional additional coverages
- paid-time off including vacation, sick leave, short term disability, and family care responsibilities
- access to our Employee Assistance Program
- incentive compensation including eligibility for annual performance-based awards
- eligibility for certain tax advantaged savings plans
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What This Job Offers
Job Type
Full-time
Career Level
Manager
