Transfer Agency Compliance, Vice President

State Street•Quincy, MA

17h

About The Position

We are looking for an experienced leader responsible for ensuring regulatory compliance within North American Transfer Agency operations. This is an exciting opportunity to join the Institutional Transfer Agency leadership team and help shape our future-state model as we implement strategic enhancements. The team you will be joining plays an important role in the overall success of the organization. Across the globe, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability. To make that happen we need teams like yours to help navigate employees and the organization as a whole. In your role you will strive for cutting-edge solutions, that are straightforward and scalable. You will help us build resilience and execute day to day deliverables at our best. Join us if making your mark in the financial services industry from day one is a challenge you are up for.

Requirements

Strong written and verbal communication skills, with the ability to explain complex topics to both senior management and operational teams.
Ability to influence others and drive execution.
Prior experience with registered transfer agency regulatory compliance practices.
Bachelor’s degree or equivalent
10+ years’ experience

Responsibilities

Develop and maintain a strong understanding of Transfer Agency operational practices, ensuring ongoing compliance with all applicable regulatory requirements.
Ensure compliance with Transfer Agency regulatory requirements and filings, including 17Ad-16 notices, lost shareholder searches, TA-2, and TA-1 filings, as needed.
Research the impact of new and pending regulations, communicate relevant updates to Transfer Agency management, and manage projects to track and implement required regulatory changes.
Act as the main point of contact between Transfer Agency and Corporate Compliance, Privacy, Risk, Legal, and Audit.
Oversee the delivery of compliance-related value-added services, including Rule 22c-2 monitoring.
Oversee the effective design and completion of operational control audits, including as-of audits, after-cut-off audits, certificate destruction audits, and related reviews.
Ensure proper oversight and governance of outsourced providers and international branches performing Transfer Agency operations.
Review and maintain the Transfer Agency Legal Manual and Regulatory Matrix, and support ongoing employee training to promote a strong culture of risk awareness and adherence to controls.
Recommend control enhancements, risk strategies, and process improvements that maintain a strong control environment while improving efficiency.
Participate in industry groups and provide documentation and updates on relevant topics.
Critically assess current- and future-state operations, recommend improvements, and drive change.
Maintain effective internal and external relationships with key stakeholders, serving as an escalation point as needed.
Ensure all team deliverables are met within assigned deadlines, maintain procedures and team checklists, and ensure adherence to standard operating procedures and controls.
Support other projects or tasks as assigned.

Benefits

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
inclusive development opportunities
flexible work-life support
paid volunteer days
vibrant employee networks