TA Oversight Analyst

Franklin Templeton Investments; London; On-site; GBP 30,000 - 50,000; Full time

Job summary

An asset management firm is seeking a TA Oversight Analyst in London. The role includes overseeing Transfer Agency services, managing relationships with fund administration providers, and ensuring compliance with regulatory obligations. The ideal candidate will have experience in client service and strong knowledge of fund administration regulations, coupled with excellent project management skills.

Qualifications

• Experience in Transfer Agency or client service roles.
• Knowledge of UK, Ireland or Luxembourg regulatory regimes.
• Ability to work under pressure and meet deadlines.

Responsibilities

• Support monitoring of Transfer Agency services.
• Manage relationships with key fund administration service providers.
• Oversee service levels and compliance through regular meetings and reviews.

Skills

Client Service

Fund Administration Knowledge

Project Management

Regulatory Knowledge

Job description

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Who are TA Oversight UK & Ireland?

The TA Oversight UK & Ireland (TAO UK) team provide back-office support and oversight for the Irish, UK and Luxembourg UK fund ranges. In line with the Franklin Templeton Code of Conduct, ensuring the highest standards of honest conduct and business ethics in all aspects of business activities, the team support the organization in the following ways:

Stakeholder Support:

TAO UK provides the key points of contact for Franklin Templeton in respect of those organizations providing Transfer Agent services. The role is, therefore, essential in helping Franklin Templeton manage interactions with service providers and so provide stakeholder support on a day-to-day basis to service the requirements of Specialist Investment Managers (SIMs), Compliance, Distribution or other functions of Franklin Templeton.

Outsourcing Oversight Assurance:

Oversight is conducted via a monitoring framework using risk and control assessments to identify the annual plan. Oversight of Transfer Agent service providers in Ireland, UK and Luxembourg includes owning all events identified as being monitoring activities. This will include attending either onsite, or virtual, due diligence meetings, as well as weekly and monthly service reviews.

Project/Change Management:

Provide technical advice, business impact assessment and project management services in respect of regulatory change, product change and operational/strategic change. TAO UK help ensure change management at Transfer Agent partners is carried out in accordance with their change program and delivers in a manner that ensures our funds remain compliant with all regulatory obligations and with adequate risk mitigation.

What will this role entail?

The TA Oversight Analyst will support the oversight and monitoring of Transfer Agency ( ˜TA ) services for UK and cross border UCITS and non-UCITS fund ranges, including managing and maintaining the relationships with key fund administration service providers, strategic distribution partners and other third parties where appropriate. You will be monitoring and reviewing Transfer Agency service levels and KPI's through the use of weekly operational meetings, and daily escalations. You will support the periodic reviews (including due diligence visits) of onshore and cross-border Transfer Agents to ensure compliance with internal procedures and guidelines as well as industry standards. In this role you will continually seek to improve internal procedures and processes and implement changes through to resolution.

What are ongoing responsibilities of the TA Oversight Analyst?

Participate in the management of the relationship with the Transfer Agents to include meetings, conference calls and due diligence visits

Oversee Transfer Agency changes to procedures or service level agreements

Monitor service providers for any breach and errors, subsequent liaison with compliance department

Support all project management services in respect of regulatory change, product change and operational / strategic change

Support oversight function in risk and control self-assessment documentation, maintenance of departmental procedures and policies

Share ownership of weekly meetings with all key service providers, ensuring accurate tracking of open issues and change items

Act as key point of contact for all stakeholders in support of client service matters.

What qualifications, skills and experience would help someone to be successful?

Prior experience of working in or with Transfer Agency or client service roles

Good knowledge of the UK, Ireland or Luxembourg regulatory regime for funds including the specific expectation of best practice in outsourced fund administration oversight

Strong team player who works effectively in an open, non-hierarchical environment with a willingness to learn and embrace change

Self-starter displaying professionalism, energy and the ability to prioritize time, work under pressure and meet tight deadlines with good attention to detail

Must be able to work in a small team, at times under pressure

Must be able to react and resolve operational issues in a short time frame

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