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CIB - Operations - Transfer Agency Associate (12Month FTC) - Sydney

Job Description

Team Summary

The Transfer Agency team is part of Investor Services and provides responsive, innovative and comprehensive registry services delivered by experienced industry professionals. 


The teamprovides key value added functions for Clients including:

  • Core Record Keeping
  • Instruction Management
  • Transaction processing including, settlements of cash and reconciliations
  • Tax and regulatory reporting
  • Reporting for Fund Manager, Investor and Dealer
  • Support obligations of Anti-Money Laundering, Know your Client and FATCA requirements
  • Client Support and Query resolution
  • Each of these functions has specific deadlines for completion and delivery either to other internal departments or directly to our Client or their and Investors

Position Summary

This role is for a senior registry/TA operations expert working in a team of 10 supporting a key market vendor of Transfer Agency services in a significant transition.  Working alongside 2 other TA operations experts a significant part of the role will be to bed down clients ‘to be’ operating models, business rules and services with the vendor as part of the sub-contract arrangement. 


The role also involves supporting the data migration, and executing user acceptance testing as part of client migrations.  All processes delivered to the team must be researched, control checked and documented before release.  Ongoing support / oversight of the new operating model is also a key aspect of the role as clients are migrated.


Your outstanding communication and investigative skills will be imperative in the role to appropriate resolution of all items raised either internally or externally.  Given the level of exposure to the Client and other internal departments, exceptional ownership and interpersonal skills will be required in order to achieve the appropriate outcome.


Key Accountabilities/Major Responsibilities:

  • Working with the other Operations SMEs in the transition team, coordinate completion of activities to support the Operating Model and Future state activities including – completion of Standard Operating Procedures, Checklists and any other required training manuals; Process Maps for to support the internal governance and oversight models; Training of 3rd party staff on new systems/processes and specific client requirements to support the future operating model
  • Working with other Operations SME’s, Business Analysts, Project Managers, clients and the vendor:
  • Support communication of requirements and management of changes to requirements
  • Assist in planning and reviewing transition requirements and progress
  • Support where required documentation of key processes and validation of requirements
  • Support requirements analysis including AS-IS and TO-BE process models covering Operations, Service, Risk and Controls and Compliance
  • Assist with testing including creation of testing scenarios and execution of testing including business sign off. Testing may include System Testing, User Acceptance Testing, Client Acceptance Testing and Post Verification Testing. Assessment of the business impact of defects and issues to be raised to the Project team for discussion and resolution
  • Act as a TA subject matter expert and work with stakeholders (including clients and 3rd party providers) to assess proposed solutions, define the transition requirements to move to the new operating model
  • To support the client transitions including assisting with oversight of transition activities and support for BAU governance until the transition is fully completed and the Oversight team are in place
  • To provide support to the daily future operating model, including resolution of client and internal customer queries (pre and post transition) as required related to systems, system logic or projects (internal and external)
  • Work with the vendor to finalise the KPI reporting and End of Day escalation process of issues and activities
  • To timetable and co-ordinate in conjunction with clients, providers and internal stakeholders the quarter and year end process timetable and ensure all items are completed accurately by the deliverable date
  • Ad-hoc tasks as directed by the Project Manager


  • Relevant Tertiary studies highly regarded
  • Minimum 5 years experience as a senior registry administrator with experience working on Operations/Business projects (preferably in registry / transfer agency space)
  • Previous experience with Composer preferable.
  • Experience with HiTrust, Garridin  and Funsphere AML would be an advantage
  • High proficiency in MS Excel
Req #: 160035443
Location: Sydney, NSW AU
Job Category: Operations
Employment Type: Full Time
Potential Referral Amount: 0 Australian Dollar (AUD)

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