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Transfer Agency Quality Control Manager

Posted 13 March by Randstad Financial and Professional Easy Apply Ended

Responsibilities of the Transfer Agency Quality Control Manager will include:

*Be the first point of contact for queries escalated by Transfer Agency team, taking a decision where
required or identifying the need for escalation to the Executive Committee, where Executive Director
input is necessary
*Oversight of daily mandate and instruction processing
*Oversight of the processing of KYC, AML and CTF checks on clients and individuals at onboarding and
*Developing and maintaining a system for recording and reporting TAG Management Information to the
Deputy COO and senior colleagues
*Investigating, documenting and resolving TAG errors, internal procedure and regulatory breaches
*Responsible for the development and maintenance of the TAG QC operating model, and for all
procedures and user guides within TAG
*Promoting a culture of high performance and continuous improvement that values learning and a
commitment to quality
*Ad-hoc work, as and when required

The ideal candidate will possess the following attributes/skills:

*Extensive experience of leading a Transfer Agency Team within a Financial Services organisation
*Significant experience of managing client on-boarding to include initial and on-going KYC and AML
*Demonstrable experience of developing a transfer agency operating model
*Good understanding of regulatory requirements and industry best practices
*Able to engage with and present to senior colleagues, Executive Directors and Stakeholders, both orally,
and in writing

Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003

Required skills

  • AML
  • KYC
  • Quality control
  • Transfer agency

Reference: 34677709

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