Transfer Agency Operational Controls and Business Readiness Manager

Apex Group; Chelmsford; Hybrid; GBP 65,000 - 90,000; Full time

Job summary

Apex Group is seeking a Transfer Agency Operations controls and Business Readiness Manager in the UK. You will maintain and enhance the operational control framework across Transfer Agency, oversee processes from dealing registration to distributions, and monitor KRIs/KPIs while driving risk and governance improvements.

Lead readiness assessments for client implementations, fund launches, migrations, and system upgrades, coordinating across Operations, Technology, Compliance, Risk and Client

Qualifications

• Extensive Transfer Agency experience across multiple operational disciplines.
• Strong understanding of Transfer Agency end to end.
• Experience managing operational risk and controls frameworks.
• Experience leading business readiness and implementation activities.
• Strong understanding of UK and European regulatory environments.
• Experience supporting audits and risk reviews.
• Proven project and change management experience.
• Strong analytical and problem-solving skills.

Responsibilities

• Maintain and enhance the Transfer Agency operational control framework.
• Perform oversight and controls across: Dealing Registration, Transaction Monitoring, Settlements, Reconciliations, Distributions.
• Monitor and report on KRIs and KPIs.
• Identify operational risks, control weaknesses and process improvement opportunities.
• Ensure effective implementation and tracking of corrective actions.
• Support self-assessments (RCSAs).
• Support Operational Resilience and Business Continuity planning activities.
• Maintain operational procedures, controls documentation and governance records.
• Lead operational readiness assessments for; New client implementations, Fund launches, Transfers and migrations, System upgrades, Regulatory changes, Strategic initiatives.
• Define readiness criteria and go-live requirements.
• Coordinate readiness activities across Operations, Technology, Compliance, Risk and Client teams.
• Assess operational impacts and capacity requirements.
• Ensure implementation of new procedures, controls and workflows.
• Track dependencies, risks and readiness milestones.
• Conduct go-live readiness reviews and provide recommendations to governance forums.
• Produce regular operational risk and control reporting.
• Present key risks, readiness updates and control metrics to senior management committees.
• Maintain risk registers and action logs.
• Support internal and external audits.
• Ensure regulatory compliance with FCA and applicable industry regulations.
• Drive a culture of risk awareness, accountability and continuous improvement.
• Identify opportunities to improve efficiency, scalability and risk management.
• Support automation and digital transformation initiatives.
• Lead process redesign and control enhancement projects.
• Promote adoption of best practices across Transfer Agency operations.
• Collaborate with Operations Managers, Change Teams and Technology partners.
• Act as a key liaison between operational teams and project delivery functions.
• Support client due diligence and governance meetings.
• Build strong relationships with internal and external stakeholders.

Skills

Operational Risk Management

Control Framework Design

Business Readiness Assessment

Change & Implementation Management

Stakeholder Engagement

Governance & Reporting

Root Cause Analysis

Continuous Improvement

Leadership & Influencing Skills

Regulatory Awareness

Data Analysis & MI Reporting

Decision Making

Job 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

Transfer Agency Operations controls and Business Readiness Manager Role Purpose

The Transfer Agency Operational Control and Business Readiness Manager is responsible for maintaining a robust control environment across Transfer Agency operations while ensuring operational readiness for business change, client onboarding, regulatory developments, system enhancements, and strategic transformation initiatives.

Key Responsibilities

Operational Control & Oversight

• Maintain and enhance the Transfer Agency operational control framework.
• Perform oversight and controls across: Dealing Registration Transaction Monitoring Settlements Reconciliations Distributions
• Monitor and report on Key Risk Indicators (KRIs) and Key Performance Indicators (KPIs).
• Identify operational risks, control weaknesses and process improvement opportunities.
• Ensure effective implementation and tracking of corrective actions.
• Support self-assessments (RCSAs).
• Support Operational Resilience and Business Continuity planning activities.
• Maintain operational procedures, controls documentation and governance records.

Business Readiness & Change Management

• Lead operational readiness assessments for: New client implementations Fund launches Transfers and migrations System upgrades Regulatory changes Strategic business initiatives
• Define readiness criteria and go-live requirements.
• Coordinate readiness activities across Operations, Technology, Compliance, Risk and Client teams.
• Assess operational impacts and capacity requirements.
• Ensure implementation of new procedures, controls and workflows.
• Track dependencies, risks and readiness milestones.
• Conduct go-live readiness reviews and provide recommendations to governance forums.

Risk & Governance

• Produce regular operational risk and control reporting.
• Present key risks, readiness updates and control metrics to senior management committees.
• Maintain risk registers and action logs.
• Support internal and external audits.
• Ensure regulatory compliance with FCA and applicable industry regulations.
• Drive a culture of risk awareness, accountability and continuous improvement.

Process Improvement

• Identify opportunities to improve efficiency, scalability and risk management.
• Support automation and digital transformation initiatives.
• Lead process redesign and control enhancement projects.
• Promote adoption of best practices across Transfer Agency operations.

Stakeholder Management

• Collaborate with Operations Managers, Change Teams and Technology partners.
• Act as a key liaison between operational teams and project delivery functions.
• Support client due diligence and governance meetings.
• Build strong relationships with internal and external stakeholders.

Knowledge & Experience Extensive Transfer Agency experience across multiple operational disciplines. Strong understanding of Transfer Agency end to end Experience managing operational risk and controls frameworks. Experience leading business readiness and implementation activities. Strong understanding of UK and European regulatory environments. Experience supporting audits and risk reviews. Proven project and change management experience. Strong analytical and problem-solving skills.

Desirable Experience

• Experience with TA migrations and client transitions.
• Knowledge of Operational Resilience requirements.
• Experience with workflow and automation tools.

Skills & Competencies

• Operational Risk Management
• Control Framework Design
• Business Readiness Assessment
• Change & Implementation Management
• Stakeholder Engagement
• Governance & Reporting
• Root Cause Analysis
• Continuous Improvement
• Leadership & Influencing Skills
• Regulatory Awareness
• Data Analysis & MI Reporting
• Decision Making

About Apex Group We are dedicated to driving positive change in financial services while fuelling the growth and ambitions of asset managers, allocators, financial institutions, and family offices. Established in Bermuda in 2003, the Group has continually disrupted the asset serving industry through our investment in innovation and talent. Today, we set the pace in asset servicing and stand out for our unique single-source solution and unified cross asset-class platform which supports the entire value chain, harnesses leading innovative technology, and benefits from cross-jurisdictional expertise delivered by a long-standing management team and over 13,000 highly integrated professionals. We’re a people-powered business, and our people are full of ambition. Together, we’re inspired to lead the new era of data and tech enabled service. Bringing new products and services to market. Sharpening our client focus. Disrupting the market to exceed expectations. Innovating across a range of specialisms. With our focus on making a difference to our people, our planet and our society, you’ll experience more here than you would at most other companies. Prepare to accelerate. We’re a people-powered business with a vision to inspire a new era of service‑led FinTech. We’re expanding globally and offering more to our clients. This means you get more opportunities to grow with us. So prepare to accelerate. We’ll make sure the time and effort you put in takes you further, faster. The journey is yours to own. When you stretch yourself, you grow. We want you to explore ways of working that will see you thrive as part of something bigger. We’ll help you with a solid structure, challenging projects, vibrant networks, supportive colleagues and approachable leaders. All the things you need to own your unique journey. Find out more about us