Investor Services Supervisor (Transfer Agency)

Our client, a global investment management company,  is looking to hire an Investor Services Supervisor.

Purpose of job

The Transfer Agency & Investor Services Team is responsible for the accurate maintenance of all Shareholder Registers for open ended funds administered by the company. Tasks include the following:

  • Review of investor subscription, redemption and switch transactions
  • Review of share/unit transfers.
  • Review and authorise payments (as an A Signatory) to ensure the payment has been correctly prepared and the correct instructions are going to be processed.
  • Review of client mailboxes ensuring that all emails are actioned in accordance with the agreed client turn around time.
  • Review of weekly/daily cash reconciliations and proper investigation and resolution of any reconciling differences.
  • Review of static data changes to investor information.
  • Manage client deliverable deadlines.
  • Performing a customer service role in shareholder query resolution, manager and investor related query resolution and reporting.
  • Reviewing and ensure all documentation are in place for distributions.
  • Review of new investors loaded onto the system.
  • Actively participate in ensuring all processes and procedures are properly documented and at hereto to ensure no accounting errors occur and the team has latency in place.
  • Review of regular reporting. Eg Admin reports, daily client reporting.
  • Coach and supervise other team members (including training and coordinating the training of new team members) to ensure the team functions as a cohesive unit.
  • Actively participate in ensuring all processes and procedures are properly documented and adhered to ensure no errors.
  • Query and issue resolution within the team (whether it’s Purefunds or system issues, or client or banking issues) to ensure no queries or issues result in an error, breach or client dissatisfaction.
  • Investigate errors, complete the required error reporting process and implement the required remedial action in order to ensure the error is not repeated.
  • Actively and continually identify and report high risk areas and gaps in processes to ensure the identification and escalation of risks and gaps.
  • Participate actively in projects, specifically risk reduction and efficiency gain projects relevant to the related fund admin teams to ensure the successful implement and completion of the specific Fund Admin project actions and timelines.

The team operates under the strict guidelines and parameters of the team operations manuals, the relevant funds’ scheme particulars and all other relevant Group, Regulatory or Statutory guidelines.

The team operates within an approved operating model and framework.

This role will originally be focussed on preparation of deliverables and will then progress to the review.

The supervisor will be responsible for the review of client deliverables, escalating any issues to the manager and ensuring that deadlines are met. They will be directly responsible for the quality control, adherence to Scheme Particulars and SLAs and outperformance of operational deadlines and client service delivery.


  • 5+ years relevant financial services experience or a newly qualified CA (SA)
  • Working knowledge of Microsoft packages, including Excel, Outlook and Word
  • Ability to work within pre-determined deadlines and prioritising workloads whilst working under pressure
  • Ability to demonstrate effective communication skills
  • Ability to coach fellow team members
  • Ability to identify failure in controls/processes
  • Review of deliverables
  • Excellent attention to detail and accuracy
  • Excellent line management skills
  • Excellent telephone communication skills

Duties of the role:

  1. Understanding the TA system and building the relevant processes and controls in order to perform daily operational processes.
  2. Ensure complete and accurate documentation of all processes
  3. Ensure that the database and underlying KYC is accurate and up to date. This includes assisting in projects to obtain missing KYC and CDD data where instructed to.
  4. Ensure accurate review, maintenance and control of the client core static data in the system in line with departmental procedures, ensuring it is successfully second released and checked.
  5. Ensure accurate acknowledgment of all updates to the client account static data.
  6. Process and quality check Investors Transfer instructions within agreed turnaround times and retain records of outstanding or missing transfer information.
  7. Provide information for the internal and external reporting in accordance with relevant Service Level Agreements, direct requests from clients or other parties.
  8. Act as the main contact point for clients and fund managers for all registration related queries and issues.
  9. Ensure the accurate control, review and monitoring of all client dealing instructions and the Finswitch upload in line with operational procedures
  10. Ensure the respective fax / email boxes are reviewed regularly to ensure correct execution of deals and queries.
  11. Review of deals in a timely manner
  12. Processing of dealing days in accordance with operational procedures and SLA’s and contractual obligations
  13. Timely, accurate and complete review of income distributions
  14. Reconciliation production and checking processes
  15. Instructing the share dealing related cash movements to the relevant custodians
  16. Timely dispatch of contract notes within regulatory requirements ensuring all requirements are fulfilled.
  17. Ensuring that all policies an procedures are adhered to and ensuring efficient and prompt query resolution
  18. Actively participate in team initiatives such as procedure documentation
  19. To continually monitor deadlines and ensure work is delivered within agreed deadlines.
  20. Be responsible for the thorough checking and authorisation of all transactions prior to and subsequent to dealing day processing and execution of any reconciliation functions, payment and redemption proceeds payments.
  21. Respond in a timely manner to all investigation work as instigated either by the client, intermediary, agent or underlying investor.
  22. Participate in the enhancement of operational procedures.
  23. Participate in the support, training and development of all personnel across the team and generate a culture of teamwork.
  24. They will apply their knowledge and abilities to the areas that require assistance and checking level support.
  25. Actively participate in the direction of the team through the operations forum.
  26. Take responsibility for the maintenance of the respective dealing operations manuals and operational / system changes.
  27. Participation in project work.
  28. Ensure adherence to the company risk reduction process and the TCF policy
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