Senior Specialist TA & Reporting Control

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Product
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Role Overview


This is a great opportunity to join SIM EU as it becomes a centre of excellence focusing on regulated Management Company activities, best in class client service, governance and product expertise. A new position has been created in our Product division, a core pillar of the Management Company, and will be a key contributor to our 1st line of defence capability.

The Senior Specialist in Transfer Agency and Reporting Control will have responsibility for implementing the strategic governance framework and controlling the oversight of the Transfer Agency and reporting activities provided by internal and external service providers.

 

Key functions of the role


• Control the oversight of the operational activities of the external service providers of the Transfer Agency, notably dealing services, registration services and the various control functions.
• Control the oversight of shareholder cash management.
• Control currency FX, share class hedging and collateral hedging in line with best execution principles.
• Control oversight of the Reporting function supported by internal and external service providers and vendors
• Ensure that Service Level Agreements set by the ManCo are met via timely and accurate service delivery
•  client  and product focussed mind set
•  Ensure compliance with all regulatory and local market conventions.
• Work closely with the team managers to implement effective controls and reporting to ensure compliance with the CSSF Circular 18/698.
• Ensure all controls are adhered to and exceptions are escalated in a timely manner as defined in the SLA’s.
• Provide KPI reporting to line management.
• Identify issues and act as point of reference for guidance for issue resolution.
• Generate MIS and perform trend analysis to assist in the provision of incident management, including remediation, defining and tracking the preventative actions and long-term control enhancements.
• Keep abreast of industry and technical developments to continuously adapt to market changes and participate in conferences and panels.
• Host client events.
• Cross collaboration with stakeholders across the organisation and service providers to ensure efficient, transparent and exhaustive oversight.
• Participate in site visits, operational spot checks and execute due diligence of external service providers.

 

Essential Skills


• Strong experience in the Funds Industry and/or Financial Services industry
• Solid understanding of Investment products and Financial Instruments
• Experience based understanding of the Transfer Agency operations and Reporting requirements
• Have a risk-based approach with a controls mind-set
• Ability to engage and handle multiple tasks simultaneously and complete assigned work within established timeframes
• Ability to communicate with, and deliver key messages to various levels of Management
• Strong relationship skills in order to coordinate multiple parties involved in implementing changes
• Willingness to approach and appropriately challenge peers and management regarding process and control gaps
• Excellent written and oral communication skills
• Fluency in English is essential


Desirable Skills


• In depth understanding of either Transfer Agency process and controls or; SIM EU cash management, FX collateral and reconciliation or; Fund Data, regulatory and non regulatory reporting would be a significant advantage
• Ability to manage conflicts and resolve ambiguity in complex situations
• Ability to work effectively with, and influence, colleagues across other functions
• Experience of report writing, ideally in accounting for incidents
• Knowledge of another European language would be an advantage

 

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