Transfer Agency Compliance, Vice President

Join the Institutional Transfer Agency leadership team as a Vice President of Compliance, ensuring regulatory adherence for North American operations. This role involves developing compliance strategies, managing regulatory filings, and acting as a key liaison with internal and external stakeholders to drive operational efficiency and risk mitigation.

• Develop and maintain Transfer Agency operational compliance
• Ensure compliance with regulatory requirements and filings (e.g., 17Ad-16, TA-2)
• Research and implement new regulations
• Liaise with Corporate Compliance, Legal, Risk, and Audit
• Oversee outsourced providers and international operations
• Recommend control enhancements and process improvements