Transfer Agency Investor Services Manager, AVP
Who we are looking for
Transfer Agency is a specialist team that provides our large client base with daily prices as well as cash forecasting, issuing daily, monthly and annual statements to our client’s investors. The team is responsible for processing daily transactions received from investors as well as distributions, completing Anti-Money Laundering & Know Your Client checks on investors to ensure full adherence to all applicable laws and regulations.
The Investor Services Manager (AVP) is responsible for leading and managing the Investor Services team within the Transfer Agency function. The team acts as the primary point of contact for investors and intermediaries, handling inbound and outbound queries via telephone and email.
Why this role is important to us
This role ensures that investor interactions are managed in a professional, efficient, and controlled manner, delivering a high-quality client experience while adhering to regulatory, risk, and operational standards.
As the Investor Services Manager, you need to be strategic in approach and have the ability to positively influence others to achieve success. You will need to continuously look to achieve ongoing efficiency targets and work on both internal and external departmental projects. You will be an escalation point for staff, requiring strong communication and problem solving skills as well as the ability to delegate and identify development opportunities.
What you will be responsible for
Your role as Operations Manager will be to:
- Lead, coach, and develop a team of Investor Services representatives responsible for handling investor enquiries across phone and email channels
- Set clear performance expectations aligned to service standards, SLAs, and KPIs (e.g., call handling, response times, quality of resolution)
- Conduct regular performance reviews, call quality assessments, and feedback sessions
- Ensure appropriate resourcing, workforce planning, and coverage across business hours
- Oversee the timely and accurate resolution of investor queries, including:
Account and transaction enquiries
Statement and reporting requests
Static data and general registry enquiries
- Ensure queries are resolved at first point of contact where possible, with clear escalation pathways for complex issues
- Monitor enquiry volumes, trends, and repeat queries to identify opportunities for process improvement
- Maintain a high standard of investor experience across all communication channels
- Ensure all interactions are professional, consistent, and aligned to approved scripts and service guidelines
- Drive continuous improvement in service delivery, including call handling efficiency and response quality
- Act as a point of escalation for client or investor complaints and sensitive issues
- Ensure all investor interactions comply with regulatory requirements, internal policies, and control frameworks
- Oversee adherence to call recording, scripting, and audit requirements
- Maintain strict controls around investor authentication, data privacy, and information handling
- Ensure appropriate documentation and audit trails are maintained for all enquiries
- Monitor daily call centre and email queue performance, including volumes, turnaround times, and backlogs
- Implement and maintain procedures to support consistent handling of investor queries
- Work closely with registry operations teams to resolve queries requiring back-office processing
- Support incident management, root cause analysis, and remediation actions
- Support onboarding of new clients, including setup of call flows, scripts, and service models
- Ensure all staffs are up to date with operational procedures and ensuring AML/KYC policies are understood and followed
- Facilitate staff training & development, including through effective performance reviews
- Drive operational efficiencies and strive for best in class services
- Understand the core offering and drive implementation of any new regulatory requirement or product
Education & Preferred Qualifications
- Strong experience in Transfer Agency and investor servicing operations
- Extensive experience in client servicing within a financial services environment
- Proven leadership experience managing a call center or investor contact team
- Demonstrated ability to lead and manage teams, including coaching, recruitment, performance management, and staff development
- Excellent communication and stakeholder management skills
- Strong ability to liaise effectively across all levels of the organization
- Strong capability to motivate teams and drive performance in a high-volume service environment
- Solid understanding of the finance industry and financial markets
- An aptitude for information technology including Excel and HiTrust
- Knowledge of fund accounting concepts
- Strong understanding of core registry processes (transaction processing, distributions, and non-financial changes)
- Strong understanding of AML, FATCA, CRS, and relevant regulatory frameworks (e.g. RG97)
- Experience with listed products is highly regarded
- Relevant tertiary qualifications in accounting, business, commerce, or finance (or equivalent industry accreditation)
Across the globe, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability. We keep our clients at the heart of everything we do, and smart, engaged employees are essential to our continued success.
We are committed to fostering an environment where every employee feels valued and empowered to reach their full potential. As an essential partner in our shared success, you’ll benefit from inclusive development opportunities, flexible work-life support, paid volunteer days, and vibrant employee networks that keep you connected to what matters most. Join us in shaping the future.
As an Equal Opportunity Employer, we consider all qualified applicants for all positions without regard to race, creed, color, religion, national origin, ancestry, ethnicity, age, disability, genetic information, sex, sexual orientation, gender identity or expression, citizenship, marital status, domestic partnership or civil union status, familial status, military and veteran status, and other characteristics protected by applicable law.
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