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Vice President, Transfer Agency Operations

2 months ago

Charlotte, North Carolina, United States Apex Group Full time


About Apex Group

The Apex Group, founded in Bermuda in 2003, has grown to become one of the leading providers of fund administration and middle office solutions globally. Our unique business model allows us to offer services that are globally accessible while maintaining local expertise and cross-jurisdictional capabilities. With a dedicated team of approximately 13,000 professionals across 112 offices worldwide, we prioritize our clients' needs and have successfully navigated a significant growth and transformation journey.

Your Career Journey

At Apex Group, we believe your career should reflect your enthusiasm and dedication. We aim to not just 'empower' you but to enhance your distinct skills and experiences. We encourage you to take initiative, and in return, we provide the support necessary for you to excel. You will have the freedom to innovate and turn ambitious ideas into impactful, industry-shaping realities for our business, our clients, and yourself.

Role Overview

The position of Compliance Analyst, Americas is crucial for overseeing SEC Investment Advisor compliance for clients, particularly Registered Investment Advisors (RIAs) managing private funds. The successful candidate will be instrumental in the development and execution of compliance programs tailored to client needs. Prior experience in regulatory compliance for U.S. Securities and Exchange Commission regulated entities is essential.

Key Responsibilities
  • Conduct periodic reviews of controls and procedures within Fund Services.
  • Identify and implement enhancements to processes and systems within the Transfer Agency Department.
  • Monitor operational risks and contribute to the improvement of the existing operational risk framework.
  • Engage in operational risk scenario modeling and analysis.
  • Assist in the training and development of current teams.
  • Stay informed on all regulatory and internal risk updates that affect the business, ensuring operations teams are equipped with the necessary knowledge and systems.
  • Oversee outsourcing arrangements for funds contracted from other jurisdictions and enhance KRI metrics for the department.
  • Manage international client relationships and interact with hedge fund principals and their investors.
  • Review and comprehend fund governing documents to facilitate discussions with staff and clients.
  • Oversee all aspects of operations and controls functions, including processing subscriptions, redemptions, transfers, and switches.
  • Ensure compliance with documented Transfer Agency procedures and policies in alignment with local and global regulations.
  • Adhere to Apex Fund Services group policies.
  • Respond to inquiries from investors and auditors.
  • Ensure timely delivery of all regulatory reporting (both onshore and offshore).
  • Provide regular reports and feedback to senior management.
  • Participate in presentations for new business opportunities with existing and prospective clients.
  • Manage change initiatives and ad hoc project management as required.
  • Assist in developing new and existing global client relationships, optimizing service offerings, productivity, and profitability.

Required Skills
  • Over five years of proven experience in managing an Investor Services/Transfer Agency team for alternative funds at a reputable institutional fund administrator.
  • In-depth knowledge of Transfer Agency systems, preferably Mantra, Paxus, or eFront.
  • Flexibility and adaptability to changing environments.
  • Current knowledge of AML/KYC regulations.
  • Familiarity with FATCA requirements.
  • Strong understanding of fund legal structures and the fund administration industry.
  • Demonstrated leadership skills with a focus on driving change.
  • Strong risk and control orientation.
  • Proven ability to manage complex projects effectively.
  • Excellent planning, organizational, and entrepreneurial skills.
  • Understanding of accounting, finance, and investment principles.
  • Strong verbal and written communication skills, along with problem-solving abilities.
  • Able to collaborate with all organizational levels.
  • Exceptional multi-tasking capabilities.
  • Ability to adapt to shifting priorities and diverse decision-making scenarios.
  • Desire to meet tight deadlines.
  • Strong interpersonal skills to foster relationships with colleagues, clients, and other divisions.

What We Offer
  • A unique opportunity to be part of a rapidly expanding global business.
  • Competitive remuneration based on skills and experience.

Additional Information

Apex Group is an equal opportunity employer, ensuring that all applicants are treated fairly regardless of gender, gender identity, marital status, race, color, nationality, ethnicity, age, sexual orientation, responsibilities for dependents, or physical or mental disability. Hiring decisions are based solely on skills, qualifications, and experience.

We measure our success not only by the quality of our products and services and our growth in assets under administration and market share but also by our positive impact on people, society, and the planet. For more information on our commitment to Corporate Social Responsibility (CSR), please visit our website.

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