Head of Transfer Agent Oversight – Americas

LGBT Great; Newport Beach (CA); On-site; USD 250,000 - 350,000; Full time

Job summary

PIMCO is seeking an experienced leader to serve as Head of Transfer Agent Oversight – Americas. This role governs transfer agent oversight across US and Canada funds, ETFs, and other pooled products, driving risk management, regulatory compliance, and service quality.

Location options include New York, Newport Beach, or Austin. You will collaborate with legal, compliance, risk, technology, and distribution teams to strengthen controls and enable AI-enabled oversight.

Qualifications

• Bachelor's degree required; advanced degree and/or certifications preferred.
• Deep knowledge of transfer agent operations and investor servicing advantageous.

Responsibilities

• Lead the transfer agent oversight across the Americas, setting strategic priorities and ensuring execution.
• Establish relationships with executives at transfer agents and service providers.
• Lead vendor reviews, monitor SLAs/KPIs, and report to senior management and governance committees.
• Ensure regulatory compliance, fund policies, disclosures, and servicing standards.
• Oversee vendor due diligence including operational, financial, cyber, and business continuity assessments.

Skills

Leadership

Relationship management

Strategic thinking

Cross-functional collaboration

Risk management

AI / technology enablement

Education

Bachelor's degree

Advanced degree preferred

Job description

PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients’ capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world’s largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns.

Since 1971, our people have shaped our organization through a high-performance inclusive culture, in which we celebrate diverse thinking. We invest in our people and strive to imprint our CORE values of Collaboration, Openness, Responsibility and Excellence. We believe each of us is here to help others succeed and this has led to PIMCO being recognized as an innovator, industry thought leader and trusted advisor to our clients.

Position Description

PIMCO is seeking an experienced leader to serve as Head of Transfer Agent Oversight – Americas. This role is responsible for the governance, oversight, and continuous enhancement of PIMCO's transfer agency oversight model across U.S. and Canada registered funds, ETFs, closed-end funds, interval funds, collective investment trusts, and other pooled investment products.

The successful candidate will lead PIMCO's oversight of transfer agents and related service providers, ensuring high standards of operational performance, risk management, regulatory compliance, business resilience, and investor servicing. As the primary business owner for transfer agent oversight activities, this individual will work closely with fund administration, product strategy, client-facing/distribution teams, legal, compliance, risk management, technology, and external service providers to strengthen controls and enhance service quality.

The role will also lead strategic initiatives related to operating model enhancements, regulatory developments, vendor management, and technology transformation, including the practical application of AI-enabled tools to improve oversight, monitoring, and decision-making.

About You

We are seeking a highly motivated leader who thrives in a dynamic environment and demonstrates sound judgment, intellectual curiosity, and a commitment to excellence. You bring:

• Exceptional leadership, organizational, and relationship management skills.
• A strategic mindset combined with strong execution capabilities.
• The ability to collaborate effectively across senior stakeholders and cross-functional teams.
• A continuous improvement mindset and enthusiasm for leveraging technology/AI to enhance business processes and oversight practices.
• Unwavering integrity, accountability, and commitment to delivering outstanding outcomes for clients and stakeholders.

Location

New York, NY, Newport Beach, or Austin, TX

Responsibilities

Key responsibilities include, but are not limited to:

Transfer Agent Governance & Oversight

• Lead the transfer agent oversight team/function across the Americas, establishing strategic priorities, ensuring execution of key objectives, and driving effective resource allocation across internal teams and service providers.
• Establish and maintain relationships with key executives at transfer agents and other, related service providers.
• Lead vendor service review meetings; evaluate performance against contractual obligations, service-level agreements and key performance indicators; provide reporting to senior management and governance committees.
• Ensure transfer agency operations comply with applicable regulatory requirements, fund policies, prospectus disclosures, and servicing standards, partnering with senior team members in legal and compliance. Assess the operational impact of regulatory developments and lead implementation efforts.
• Oversee vendor due diligence, including operational, financial, technology, cybersecurity, and business continuity assessments.
• Build and maintain strong partnerships across operations, product strategy, client-facing/distribution, compliance, legal, risk management, technology, finance, and portfolio management.
• Collaborate with colleagues across EMEA and APAC to promote consistent oversight standards and best practices.

Operational Risk & Controls

• Oversee key transfer agency activities, including cash management, shareholder and intermediary servicing, regulatory document delivery, and related control processes across US, Canada, and LatAm operations.
• Maintain monitoring programs to identify and address operational risks, service issues, control deficiencies, and emerging trends. Oversee root cause analysis and remediation efforts to address identified control weaknesses and operational risks.
• Lead the escalation, investigation, and resolution of significant operational incidents and service delivery issues.
• Partner with risk management, compliance, legal, and internal audit to strengthen the control environment and promote operational excellence.

Strategic Initiatives & Continuous Improvement

• Drive process improvement, automation, and operating model enhancements to improve efficiency, scalability, and service quality.
• Partner with technology and operations teams to enhance data quality, reporting capabilities, workflow automation, and operational resilience.
• Promote a technology-forward approach to strengthen oversight and execution
• Identify industry best practices and emerging risks to continuously enhance the transfer agent oversight program.
• Collaborate with product strategy, wealth management, legal and compliance teams to strategize new product ideas and their implementation with TAs and distribution partners

Qualifications

• Bachelor's degree required; advanced degree and/or relevant industry certifications preferred.
• Deep knowledge of transfer agency operations, shareholder servicing