Investor Services & Intermediary Oversight Associate
Core
Oversees third-party transfer agents, financial intermediaries, and investor servicing providers to ensure effective delivery of services within an operational control environment for U.S. wealth management products.
Role type
Associate, Investor Services & Intermediary Oversight
Builds
Operational oversight of transfer agency, intermediary, and investor servicing functions
Domain
Asset Management / Wealth Management / U.S. Financial Services
Required skills
Transfer agency oversight, Financial intermediary management, Regulatory compliance (12b-1, shareholder servicing), Operational due diligence, Product lifecycle coordination, Risk monitoring, Stakeholder coordination
Preferred skills
Experience with DTCC/NSCC platforms, Knowledge of mutual funds/ETFs/SMA structures, Analytical problem-solving
Technologies
DTCC, NSCC, Transfer agency systems, Intermediary platforms
Responsibilities
Monitor service delivery and operational performance of third-party providers, Support onboarding and maintenance of intermediary relationships, Coordinate operational requirements for selling and servicing agreements, Develop management information and reporting for governance forums, Identify opportunities to automate and strengthen processes
Seniority
Mid-level, hands-on IC