Overview
The Senior Transfer Agent Regulatory Operations Analyst plays a critical role in supporting transfer agent oversight, regulatory compliance, audit readiness, and complex shareholder servicing activities. This role focuses on subject‑matter expertise, issue resolution, and cross‑functional coordination.
We currently operate in a hybrid working model, whereby you will be required to work in-office 4 days per week.
Location(s): Milwaukee, WI
Responsibilities
Legal, Regulatory & Audit Support
- Serve as a key liaison with Legal, Compliance, and Audit on transfer agent matters.
- Coordinate responses to subpoenas, court orders, liens, fiduciary matters, and related inquiries.
- Support internal and external audits, including documentation, testing coordination, and remediation tracking.
- Maintain and enhance policies, procedures, and governance documentation supporting TA compliance.
AML, Financial Crimes & Privacy Oversight
- Support AML program activities including audits, CIP/CDD escalations, and suspicious activity reviews.
- Assist with Reg S‑P privacy updates, annual notices, and documentation controls.
- Contribute to business risk assessments, fraud analysis, and control enhancement initiatives.
Operational & Service Provider Oversight
- Independently analyze and resolve complex escalations, exceptions, and shareholder issues.
- Monitor and support transfer agent service delivery and adherence to SLAs and controls.
Risk Management, Controls & Policy Improvements
- Participate in and support business unit risk assessments, including data gathering, analysis, documentation, and coordination with Risk and Compliance partners.
- Identify fraud, risk, and control trends, emerging issues, and recommend enhancements for management review.
- Execute compliance updates, including research, documentation, and coordination with service providers and internal stakeholders to ensure adherence to regulatory requirements.
- Independently resolve issues and support escalation processes, ensuring risks are clearly identified, documented, communicated, and tracked through remediation in accordance with established controls and timelines.
Process Improvement & Change Support
- Participate in workflow optimization, technology enhancements, and process simplification initiatives.
- Support onboarding of new products or services from a TA operations perspective.
Qualifications
Required Qualifications
- Bachelor’s degree.
- 8+ years in TA oversight with focus on regulatory operations.
- Strong knowledge of mutual fund operations and regulatory requirements.
- Familiarity with BSA/AML, Reg S‑P, Identity Theft/Red Flags, and escheatment.
- Experience with subpoena review and response, court orders, and complex shareholder servicing.
- Strong analytical, communication, and documentation skills.
- Demonstrated ability to manage complex issues independently.
- Excellent communication, negotiation, and critical thinking skills.
- Remain in stationary position for prolonged periods of time
- Operate computer programs and software
- Ability to communicate effectively with audiences in person and in electronic formats
- Day-to-day contact with others (co-workers and/or public)
- Ability to work in a collaborative business environment in close quarters with peers and varying interruptions.
Preferred Qualifications
- Experience with third‑party transfer agents such as SS&C.
- Vendor risk management experience.
- Understanding of fund structures.
- Proven ability to deliver clear, compelling oral and written presentations to diverse audiences, including senior leadership and external partners.
- Highly organized and diligent, with a proactive and self-motivated approach to problem-solving.
- Flexible and adaptable, with a positive attitude toward change and the ability to manage shifting priorities and workloads.
Please note: This position does not offer sponsorship for employment visas. Applicants must be legally authorized to work in The United States without sponsorship now or in the future.
Compensation
Base Pay Range: $80,000 - $90,000
Actual base salary may vary based upon, but not limited to, relevant experience, time in role, base salary internal peers, prior performance, business sector, and geographic location. In addition to base salary, the competitive compensation package may include, depending on the role, participation in an incentive program linked to performance (for example, annual discretionary bonus programs, or other annual or non-annual incentive or sales plans.)
#LI-JD
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Disclosure
We are an Equal Opportunity/Affirmative Action Employer. We consider all qualified applicants for employment regardless of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other protected status