Transfer Agent Governance Analyst

Ameriprise Financial Services, LLC•Boston, MA

1d•$58,400 - $80,400•Hybrid

About The Position

The TA Governance Analyst is responsible for overseeing operational and governance functions performed by the Fund Transfer Agent, ensuring adherence to regulatory requirements and internal standards. This individual contributor role partners closely with the sub-Transfer Agent and internal stakeholders to manage processes including financial crime and fraud research, regulatory mailing fulfillment, customer complaint responses, privacy incident investigation, and subpoena tracking and coordination.

Requirements

1- 3 years experience or knowledge of mutual fund and US retirement account operations
Excellent writing skills
Demonstrated ability to manage tasks independently with a high degree of accuracy and attention to detail
Strong organizational skills with the ability to prioritize and consistently meet deadlines
Openness to feedback and willingness to develop skills within a structured, team-oriented setting
Applicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN).

Responsibilities

Mitigate risk and protect investors by conducting research and analysis related to financial crime, fraud, and suspicious activity, partnering with internal compliance teams
Assist with detective processes involving at risk customers and high risk customers
Support department by assisting with TA-1 and TA-2 filings, state "Bank Match" program administration, Pay-to-Play reporting, foreign account reporting, and other regulatory processes
Draft complaint responses to customer complaints and escalations in alignment with firm standards
Maintain logs of complaints and report to management in accordance with written procedures
Manage end-to-end fulfillment of regulatory mailings for mutual fund and ETF products, ensuring accuracy, timeliness, and audit readiness
Monitor Transfer Agent performance and operational processes, identifying risks, control gaps, and opportunities for process improvement
Collaborate cross-functionally with Legal, Compliance, Operations, and service providers to drive issue resolution and continuous improvement
Manage subpoena intake and response coordination, ensuring adherence to legal and regulatory obligations