Transfer Agent Governance Analyst

TA Governance Analyst

The TA Governance Analyst is responsible for overseeing operational and governance functions performed by the Fund Transfer Agent, ensuring adherence to regulatory requirements and internal standards. This individual contributor role partners closely with the sub-Transfer Agent and internal stakeholders to manage processes including financial crime and fraud research, regulatory mailing fulfillment, customer complaint responses, privacy incident investigation, and subpoena tracking and coordination.

Responsibilities

• Mitigate risk and protect investors by conducting research and analysis related to financial crime, fraud, and suspicious activity, partnering with internal compliance teams
• Assist with detective processes involving at risk customers and high risk customers
• Support department by assisting with TA-1 and TA-2 filings, state "Bank Match" program administration, Pay-to-Play reporting, foreign account reporting, and other regulatory processes
• Draft complaint responses to customer complaints and escalations in alignment with firm standards
• Maintain logs of complaints and report to management in accordance with written procedures
• Manage end-to-end fulfillment of regulatory mailings for mutual fund and ETF products, ensuring accuracy, timeliness, and audit readiness
• Monitor Transfer Agent performance and operational processes, identifying risks, control gaps, and opportunities for process improvement
• Collaborate cross-functionally with Legal, Compliance, Operations, and service providers to drive issue resolution and continuous improvement
• Manage subpoena intake and response coordination, ensuring adherence to legal and regulatory obligations

Qualifications

• 1- 3 years experience or knowledge of mutual fund and US retirement account operations
• Excellent writing skills
• Demonstrated ability to manage tasks independently with a high degree of accuracy and attention to detail
• Strong organizational skills with the ability to prioritize and consistently meet deadlines
• Openness to feedback and willingness to develop skills within a structured, team-oriented setting

Visa Sponsorship

Applicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN).

In-Office Collaboration

We are a client-centric, relationship-based business. Working together, in-person, is foundational to how we achieve results. By fostering a culture of face-to-face collaboration, idea sharing, productivity and personal connection, we deliver for our stakeholders — clients, advisors, employees and shareholders. Our employees work in the office at least four (4) days per week, with flexibility to work from home one (1) day per week. Some roles may require additional in-office time or different in-office expectations, and specific requirements will be discussed during the hiring process.

Base Pay Salary

The estimated base salary for this role is $58,400- $80,400 / year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances.

Full Time

Non-Exempt

Mutual Fund Operations

AMINV US Asset Management