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Transfer Agency Oversight Analyst - Swindon

Columbia Threadneedle Investments
Swindon, United Kingdom
Closing date
Feb 4, 2023

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
About Columbia Threadneedle Investments

You'll find the promise we make to our clients is the same one we make to our employees: Your success is our priority.

Here, you'll find growth and career opportunities across all our businesses. We're intentionally built to help you succeed. Our reach is expansive with a global team of 2,000 people working together. Our expertise is diverse with more than 450 investment professionals sharing global perspectives across all major asset classes and markets. Our clients have access to a broad array of investment strategies and we have the capability to create bespoke solutions matched to clients' specific requirements.

Columbia Threadneedle is a people business and we recognise that our success is due to our talented people, who bring diversity of thought, complementary skills and capabilities. We are committed to providing an inclusive workplace that supports the diversity of our employees and reflects our broader communities and client-base. We welcome applications from returners to the industry.

We appreciate that work-life balance is an important factor for many when considering their next move so please discuss any flexible working requirements directly with your recruiter.

Job Purpose Statement

Where you'll fit in & what our team goals are...

This role is within Transfer Agency Oversight, a team who perform an important function within our Global Operations and Investor Servicing division.

In this role you will report to the TA Oversight Manager, ensuring our 3rd party providers are delivering as per agreed service levels and contract, leading to best in class investor and stakeholder outcomes.

This role is based in our Swindon office.

Role Responsibilities

How you'll spend your time....

Utilise oversight tools to monitor and promote successful supplier performance by:
  • Management of 3rd party provider; including day to day management of escalations, monitoring of Key Performance Indicators and Management Information, taking appropriate action where trigger points are crossed.
  • Demonstrate subject matter expertise when handling supplier escalations. These are typically (but not limited to) AML/KYC, Account Opening, Dealing, Complaint, Settlement, general Investor Servicing and escalations of a regulatory or compliance nature.
  • Uphold our robust Risk & Controls framework ensuring that Governance related activities are completed in a timely manner and adequately documented.
  • Assist with periodic on sight thematic and process reviews.
  • Identify supplier enhancement opportunities, engage with key relevant stakeholders keeping them appraised throughout the delivery process.
  • Maintain issues logs, complete root cause analysis and monitor for thematic trends. Drive early resolution through attendance at regular internal and external meetings and uphold direct contact with the parties involved.
  • Retrocession management; setting, checking and review of all issues related to retrocession payments to Distributors.
  • Provide support to Columbia Threadneedle's global distribution and operational teams.
  • General administrative activity including review of fee invoices from 3rd party providers, address and resolving day to day issues as raised by the Columbia Threadneedle business and suppliers, effectively escalating matters which cannot be resolved.
  • Develop an open and effective working relationship with key Columbia Threadneedle functions including Distribution, Marketing, Finance, Risk & Compliance, Change Management and Investment Operations.

Key Capabilities

To be successful in this role you will have....
  • Outcomes focused, delivering excellence in a deadline and investor outcomes driven environment.
  • Demonstrates the ability to work on a range of items simultaneously, proactively managing and prioritising a significant and often changeable workload.
  • Quick learner with the ability and willingness to pick up new processes and challenges.
  • Identify problems and escalate options for resolution with recommendations, tracking to conclusion.
  • An excellent communicator who can effectively express ideas and requirements orally and in writing, both formally and informally.
  • Experience of producing and maintaining operational process documents and audit deliverables.
  • A strong team player with the ability to form collaborative cross-functional working relationships both within Columbia Threadneedle and at our suppliers.
  • Analytical approach to problem solving and ability to identify, present and mitigate areas of risk.
  • Demonstrates attention to detail their day to day activities.

Desired Capabilities

If you also had this, it would be great...
  • An understanding of Fund Industry practices and Transfer Agency operations with prior experience of OEIC, Unit Trust or Investment Trust administrative processing.
  • Prior experience of working within an outsourced third party supplier, transfer agency relationship or inhouse servicing model concerning fund administration.
  • A desire to continually improve your knowledge of the Columbia Threadneedle product range, our investor requirements and wider industry level challenges, discussion points and solutions.
  • Prior exposure to Client Money (CASS) and/or rebate processing whilst not essential, is an advantage.
  • Experience of working in a financial services environment where the consideration and understanding of Client Vulnerability was front and centre.

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