Transfer Agency Regulatory Manager
About The Position
The Transfer Agency Regulatory Manager leads and oversees regulatory operations for the transfer agency team, ensuring compliance with tax reporting, escheatment, AML, and other regulatory requirements. This role manages a small team of 1–2 direct reports while remaining hands-on with critical operational tasks. The manager serves as a liaison between internal teams, intermediaries, and clients, drives quality control, and supports initiatives to enhance operational efficiency, risk management, and regulatory compliance. This is a career-level role responsible for moderately complex projects and tasks requiring a high degree of judgment, resourcefulness, and specialized expertise.
Requirements
- Minimum of 5 years of financial services regulatory experience in Transfer Agency, Investor Services, or a wire house, including some leadership or supervisory experience.
- Experience in escheatment, tax reporting, or AML strongly preferred.
- Familiarity with TA2000 or similar systems is a plus.
- Proven ability to manage regulatory processes and act as a liaison between intermediaries, clients, and internal teams.
- Strong track record of meeting government and regulatory deadlines.
- Ability to mentor and guide a small team while maintaining hands-on involvement in key regulatory tasks.
- Strong analytical, problem-solving, and communication skills.
- Willingness to work on site at least 6 days per month at one of our office locations
Responsibilities
- Lead and oversee regulatory operations for the transfer agency team, including tax reporting, escheatment, and AML compliance.
- Manage 1–2 direct reports, providing guidance, coaching, and performance oversight.
- Ensure quality control of account setups, trades, and tax forms, advancing items efficiently through the review process.
- Escalate and resolve account-related issues by collaborating with internal teams and stakeholders.
- Analyze and calculate cost basis for shareholder accounts as needed.
- Responsible for shareholder tax reporting, control reporting, and alternatives account review.
- Review and analyze tax forms (1099, 1042, 5498), retirement account compliance, and troubleshoot issues with clients and internal departments.
- Communicate professionally and clearly with clients, intermediaries, and internal teams regarding regulatory matters.
- Test and review system functionality for new fund setups.
- Stay current on AML, tax, and other regulatory requirements and ensure team adherence.
- Lead special projects and initiatives related to operational efficiency, risk management, and regulatory compliance.
- Recommend new procedures and develop creative solutions to wide-ranging and complex issues.
Benefits
- Flexibility: Hybrid Work Model and Business Casual Dress Code, including jeans
- Your Future: 401k Matching Program, Professional Development Reimbursement
- Work/Life Balance: Flexible Personal/Vacation Time Off, Sick Leave, Paid Holidays
- Your Wellbeing: Medical, Dental, Vision, Employee Assistance Program, Parental Leave
- Wide Ranging Perspectives: Committed to Celebrating the Variety of Backgrounds, Talents and Experiences of Our Employees
- Training: Hands-On, Team-Customized, including SS&C University
- Extra Perks: Discounts on fitness clubs, travel and more!
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What This Job Offers
Job Type
Full-time
Career Level
Manager
Education Level
No Education Listed
