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Assistant Vice President, Transfer Agency

Apex Group Ltd

Apex Group Ltd

Charlotte, NC, USA
Posted on Saturday, July 6, 2024

Description

The Apex Group was established in Bermuda in 2003 and is now one of the world’s largest fund administration and middle office solutions providers. Our business is unique in its ability to reach globally, service locally and provide cross-jurisdictional services. With our clients at the heart of everything we do, our hard-working team has successfully delivered on an unprecedented growth and transformation journey, and we are now represented by over circa 13,000 employees across 112 offices worldwide.

Your career with us should reflect your energy and passion. That’s why, at Apex Group, we will do more than simply ‘empower’ you. We will work to supercharge your unique skills and experience. Take the lead and we’ll give you the support you need to be at the top of your game. And we offer you the freedom to be a positive disrupter and turn big ideas into bold, industry-changing realities. For our business, for clients, and for you.

Assistant Vice President, Transfer Agency

Description

The role of the Compliance Analyst, Americas is responsible for SEC Investment Advisor compliance clients, particularly Registered investment advisors (“RIAs”) managing private funds. The incumbent will play a vital role in the implementation and execution of client compliance programs. Candidates must have previous experience in the implementation and execution of regulatory compliance programs for U.S. Securities and Exchange Commission regulated entities.

Job specification

  • Review controls and procedures across Fund Services on a periodic basis
  • Identify and Implement process improvements/system enhancements across the Transfer Agency Department.
  • Monitor operational risk across the Business and assist with the enhancement of the existing operational risk framework
  • Operational risk scenario modelling and analysis
  • Assist in building out and training the current teams.
  • Keep up to date on all Regulatory and internal Risk updates that impact the business ensuring the operations Teams have the necessary knowledge and system’s in place to deal with the updates
  • Managing the oversight outsourcing for funds contracted from other jurisdictions Monitoring and enhancing the KRI metrics for the Department
  • Managing international client relationships
  • Interacting with hedge fund principals and their investors
  • Review, understand and have the ability to discuss fund governing documents with staff and clients
  • Responsible for all aspects of operations and controls functions: Processing subscriptions, redemptions, transfers and switches.
  • Ensure control framework and documented Transfer Agency procedures and policies in line with regulations both locally and globally
  • Ensuring Apex Fund Services group policies are adhered to
  • Responding to investor and audit related enquiries
  • Ensure all regulatory reporting (onshore and offshore) is delivered within the required timeframes
  • Providing periodic reports and feedback to senior management
  • Participate in presentations for business opportunities from new and existing clients
  • Be responsible for change management where required including Ad hoc project management (as required)
  • Assisting in the further development of new & existing global client relationships, optimizing service offerings, productivity and profitability

Skills Required:

  • Five plus years of proven experience managing an Investor Services/Transfer Agency team for alternative funds at a top tier institutional fund administrator
  • Detailed knowledge of Transfer Agency systems, preferably Mantra, Paxus, eFront
  • Flexibility
  • Up to date AML/KYC knowledge
  • Up to date FATCA knowledge
  • A very strong understanding of fund legal structures and the fund administration business
  • Strong leadership skills with demonstrated ability to drive change
  • Strong Risk & control focus
  • Demonstrated ability to manage complex projects
  • Strong planning, organizational skills and entrepreneurial skills
  • Knowledge of accounting, finance and investment concepts
  • Strong communication (verbal and written) and problem-solving skills
  • Must be able to work with all levels within the organization
  • Strong multi-tasking skills
  • The ability to adapt to changing priorities and varied decision-making scenarios
  • An ability and desire to work to tight deadlines
  • Good interpersonal skills to develop working relationships with colleagues, clients, other divisions/ offices of the bank and professional intermediaries

What you will get in return:

  • A genuinely unique opportunity to be part of an expanding large global business;
  • Competitive remuneration commensurate with skills and experience;

Training and development opportunities

Additional information:

We are an equal opportunity employer and ensure that no applicant is subject to less favourable treatment on the grounds of gender, gender identity, marital status, race, colour, nationality, ethnicity, age, sexual orientation, socio-economic, responsibilities for dependants, physical or mental disability. Any hiring decision are made on the basis of skills, qualifications and experiences.

We measure our success as a business, not only by delivering great products and services and continually increasing our assets under administration and market share, but also by how we positively impact people, society and the planet.

For more information on our commitment to Corporate Social Responsibility (CSR) please visit https://theapexgroup.com/csr-policy/

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