Job Description

The Transfer Agency Transaction Capture Senior Analyst is an experienced operational role responsible for the accurate and timely processing of client instructions across the transfer agency lifecycle. The role functions as a maker and/or checker within a controlled operations environment and supports the delivery of high-quality client servicing while ensuring adherence to regulatory, audit, and risk management standards.

The individual will handle complex transactions, perform transaction verification and reconciliation, identify operational risks, and support continuous process improvement within the Transfer Agency business.

Key Responsibilities

Transaction Processing & Control

• Process, validate, and authorize client instructions across core transfer agency activities including subscriptions, redemptions, switches, transfers, distributions, and investor maintenance events.
• Act as Maker and/or Checker, ensuring dual control, accuracy, and completeness of all transactions processed in line with TA procedures and service level agreements (SLAs).
• Perform transaction validation against fund documentation, prospectuses, client agreements, and applicable regulatory requirements.
• Support daily, monthly, and ad‑hoc reconciliations including cash, unit/shares, suspense, and register integrity controls.

Risk Management & Issue Resolution

• Identify, investigate, and resolve transaction breaks, inquiries, and exceptions, ensuring appropriate escalation of aged or high‑risk items.
• Proactively identify operational risk, control weaknesses, and process gaps, recommending remediation actions to management.
• Ensure full compliance with internal control frameworks, audit requirements, operational risk policies, and regulatory obligations.
• Support incident management by contributing to root cause analysis, corrective actions, and control enhancements.

Client Servicing & Stakeholder Support

• Manage and respond to internal, external & third-party inquiries related to TA transactions in a professional and timely manner.
• Partner with internal stakeholders such as other functions within the KL Transfer Agency department, onboarding, AML/KYC, fund accounting, and custody teams to resolve end‑to‑end processing issues.
• Support the delivery of consistent service quality and adherence to agreed client service standards.

Reporting & Process Improvement

• Produce and analyze operational reports and metrics to support management oversight, control activities, and capacity planning.
• Participate in process improvement initiatives, system enhancements, and procedural updates to increase efficiency, accuracy, and scalability.
• Assist with implementation of new products, fund launches, or process changes impacting Transfer Agency operations.

People & Knowledge Management

• Provide on‑the‑job guidance and informal coaching to junior team members, particularly on TA procedures, controls, and transaction handling standards.
• Act as a subject matter resource for specific TA processes or transaction types within the team.

Governance & Conduct

• Ensure compliance with applicable laws, regulations, internal policies, and ethical standards.
• Escalate, manage, and report control issues transparently and in a timely manner to the respective line manager.

Qualifications & Experience

• 2–5 years of experience in Transfer Agency operations, fund administration, or a comparable post‑trade / investor services environment.
• Strong working knowledge of TA transaction processing, dual control principles, and operational risk management.
• Experience operating in a maker/checker or quality control role within a regulated operations environment.
• Demonstrated ability to manage high‑volume processing with strong attention to detail and accuracy.
• Effective problem‑solving skills with the ability to analyze issues, identify root causes, and propose sustainable solutions.
• Strong written and verbal communication skills; able to interact effectively with internal and external stakeholders.
• Ability to work under pressure, manage multiple priorities, and meet strict deadlines in a fast‑paced environment.

Education

• Bachelor’s degree / University degree or equivalent relevant experience.

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Job Family Group:

Operations - Transaction Services

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Job Family:

Transaction Capture Services

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Time Type:

Full time

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Most Relevant Skills

Please see the requirements listed above.

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Other Relevant Skills

For complementary skills, please see above and/or contact the recruiter.

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