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Director, Head of Transfer Agency/Investor Services

London 10th Jun 2022

Join Team JTC where your contribution will be valued.

An opportunity has arisen within our growing Investor Services team in order to lead the delivery of best in class service and operational service delivery to all existing and prospective clients. The role reports into the UK Managing Director and has ultimate responsibility for 20+ professionals within the department and based within the local jurisdiction

Purpose of Job

The Head of Transfer Agency/Investor Services will be a key member of the local senior management team but with specific focus to oversee the effective management of the investor services team, ensuring a professional and comprehensive administration service is provided to existing and prospective clients and in line with strategic objectives set by the UK Board.

Leading by example and living up to our corporate values, the successful candidate will lead the Transfer Agency/Investor Services team across multi jurisdictions, coordinating the Transfer Agency client service, taking responsibility for assigned deadline management and the overall quality of deliverables to support the business. They will assist in driving the business forward whilst supporting new business opportunities in conjunction with the business development team, local senior management and Group. They will participate in local and global initiatives around optimization, efficiency and automation, covering Transfer Agency and associated services where experience may lend itself. They will work collaboratively and pro-actively with the senior management team to implement processes, enforce policies and procedures and abide by the appropriate regulatory regime as it applies to the role.


Main Responsibilities and Duties
  • Overall responsibility for the department’s management of an extensive and varied (multi-jurisdictional) portfolio of clients through appropriate allocation of clients within the team and the monitoring of quality and accurate administration
  • Determine appropriate processes and procedures, enhance and improve same continuously to mitigate risk and improve the client experience.
  • Actively lead and execute the process and application improvements required for client service delivery and support an on-going program of continuous improvement, identifying and escalating opportunities and implementing changes.
  • Promote communication between colleagues, ensure an open, transparent and collegiate culture is maintained
  • Manage and develop team members, develop succession plans, set appropriate goals and objectives for staff.
  • Regularly review staff progress against goals and objectives and all core competencies
  • Support new client on boarding acting as a primary point of contact for Transfer
  • Agency/Investor Services.
  • Oversee and ensure the application of AML checks ( Client / Investor) and Investors eligibility checks against applicable regulation and funds guidelines
  • Proven ability towards on-boarding clients in accordance with anti-money laundering and counter-terrorism legislation
  • Pro-actively help manage key client relationships in conjunction with any appointed client service director (CSD)
  • Act as a point of escalation for client issues and lead the resolution
  • Actively support the business development process, meet with prospective clients
  • Proactively develop strong working relationships with the broader JTC executive team members and colleagues in the same business line in other jurisdictions and support global initiative and projects where impacted.
  • Ensure that the spirit of JTC is engendered and shared within the team
  • May be required to attend board/divisional meetings and contribute to board papers/reports as appropriate
  • Fulfil the function of “Client Director” or “Senior Client Director” on appropriate client entities, if required
  • Ensure good corporate governance in accordance with regulatory requirements while aligning to the Group’s overall aims, business plan and long term strategy
  • Attend and lead client meetings, either on or off site. Liaise with professional advisors to ensure the Group delivers both a proficient and added value service
  • Develop, retain and enhance long term relationships with clients, their advisers, intermediaries and other introducers of work, maintaining a high level of client care
  • Effectively manage and accurately price new business enquiries, ensuring the resources and services provided by the Group are fully explained
  • Active participation at internal business development meetings; demonstrate an ability to identify new business opportunities and where possible introduce prospective new business to the Group
  • Advise and remain responsible for the complex aspects of a client’s portfolio and maintain knowledge of all the division’s clients, in order to nurture close working relationships with other associate directors, directors and employees of the Group
  • Provide any other duties as defined or deemed necessary by the UK Board
  • Adhere to Risk & Associate Compliance procedures in relation to regulatory requirements and AML legislation;
  • Be responsible for analysing, assessing and managing the risks associated with own portfolio of clients as well as that of the division’s, and where relevant, the Group’s business as a whole
  • Contribute to the division’s risk assessments and review measures to ensure conformity, remaining aware of risk exposure, including fulfilment of responsibilities under the review procedures
  • Remain aware of the obligations for the reporting of unusual transactions and act as a guide to the division in this respect Adhere to JTC core values and expected behaviours;
  • Act as an “A” signatory (subject to approval by appropriate Board and Committee)
  • Develop an ability to inspire and motivate the department and the wider Group to sustain the Group’s unique stakeholder culture
  • Develop, coach and mentor the management team, providing guidance on the management of employees according to Group standards and policy; ensuring employee’s and division’s adherence to their contractual obligations
  • Adhere to CPD requirements in accordance with qualification level and in-house procedures
  • Develop self, and ensure knowledge in relevant field at all times
  • Deputise in the absence of Senior Director / Managing Director, where appropriate
  • Adhere to the JTC core values and expected behaviours
  • Any other duties as deemed necessary or defined by Management and/or Group Board
Essential Requirements
  • Demonstrable, hands-on systems experience and knowledge relating to Transfer Agency function
  • Strong knowledge of AML regulations and requirements, FATCA/CRS services,
    15+ years of funds industry experience directly working in fund operations/administration
  • At least 10 years’ experience of working in a Leadership role.
  • Excellent customer service skills, strong client focus gained in a regulated financial services company
  • Excellent planning and organisation skills
  • An ability to understand and assess area of risk within an organization and a track record of implementing new processes to manage risk
  • Experience with Pure funds will be advantageous
  • Experience with Jersey Recognised Funds will be advantageous
  • A dynamic leader with a track record of developing and training staff, with proven people management skills
  • Flexible approach to work
  • Ability to review and resolve complex issues

JTC is a publicly listed, global professional services business with deep expertise in fund, corporate and private client services. Every JTC person is an owner of the business and this fundamental part of our culture aligns us with the best interests of all of our stakeholders. Our purpose is to maximise potential and our success is built on service excellence, long-term relationships and technology capabilities that drive efficiency and add value.

JTC’s culture places a strong focus on the development of its employees. We value our employees’ commitment to their career and encourage and support you if you wish to pursue a professional qualification as well as providing ongoing learning and development opportunities through our Academy and Gateway programmes. Our vision for the future is driven by an entrepreneurial and innovative spirit.

If you would like to join team JTC, where everyone is dedicated to continuously delivering a service beyond our clients’ expectations, please apply on line (applications will only be accepted if made through the online portal).