Client manager Work, Jobs in Great Leighs, Ess (with Salaries)

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1d

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Senior Administrator Dealing, Registration and AML/KYC - Transfer Agency

Apex Group -
Chelmsford

Apply Now

Job details

Full-time
10 days ago

Qualifications

Financial Conduct Authority guidelines
Stakeholder collaboration
Client engagement
Stakeholder liaison
Mentoring junior staff
Continuous improvement
Risk management
Mentoring
Organisational skills
Root cause analysis
Leadership
Communication skills
Client onboarding compliance checks
Time management

Full job description

The Apex Group was established in Bermuda in 2003 and is now one of the world’s largest fund administration and middle office solutions providers.

Our business is unique in its ability to reach globally, service locally and provide cross-jurisdictional services. With our clients at the heart of everything we do, our hard-working team has successfully delivered on an unprecedented growth and transformation journey, and we are now represented by over circa 13,000 employees across 112 offices worldwide.Your career with us should reflect your energy and passion.

That’s why, at Apex Group, we will do more than simply ‘empower’ you. We will work to supercharge your unique skills and experience.

Take the lead and we’ll give you the support you need to be at the top of your game. And we offer you the freedom to be a positive disrupter and turn big ideas into bold, industry-changing realities.

For our business, for clients, and for you

Senior Administrator Dealing, Registration and AML/KYC – TRANSFER AGENCY

Role Purpose

The Transfer Agency Senior Administrator is responsible for the accurate and timely processing of investor transactions, account maintenance, registration activities, and AML/KYC controls. The role ensures adherence to regulatory requirements, internal policies, service level agreements, and client expectations while supporting operational excellence and risk management.

The individual will act as a subject matter expert within the team, assisting with complex queries, mentoring junior colleagues, and contributing to process improvements and change initiatives.

Key Responsibilities:

Dealing Administration

Process subscription, redemption, switch and transfer requests accurately and within agreed deadlines.
Validate dealing instructions in accordance with fund prospectuses, client agreements, and operating procedures.
Monitor daily transaction queues and ensure all investor trades are processed within cut-off times.
Investigate and resolve trade exceptions, discrepancies, and unmatched transactions.
Liaise with investors, clients, distributors and intermediaries, regarding dealing,
Ensure all dealing activities comply with regulatory and operational controls.

Registration Administration

Maintain investor registration records accurately and promptly.
Process account opening, amendments, transfers, closures, and investor maintenance requests.
Validate documentation requirements for individual, corporate, trust, and institutional investors.
Process changes to investor details, including addresses, bank accounts, authorised signatories and account mandates.
Manage share transfers, inheritance cases, and complex ownership changes where applicable.
Ensure investor records remain complete, accurate and audit ready.
Handle investor correspondence and service requests in line with service standards.

AML/KYC & Financial Crime Compliance

Perform AML/KYC reviews for new and existing investors.
Validate client identity and beneficial ownership documentation.
Conduct risk-based customer due diligence (CDD) and enhanced due diligence (EDD) activities.
Review sanctions screening, politically exposed person (PEP) results and adverse media alerts.
Identify and escalate potential financial crime concerns in accordance with internal procedures.
Support periodic KYC refresh and remediation projects.
Maintain accurate records of AML/KYC assessments and approvals.
Liaise with Compliance, MLRO and client representatives regarding AML-related matters.

Controls, Risk & Governance

Ensure all tasks are performed in accordance with documented procedures and control frameworks.
Identify operational risks, control weaknesses, and service issues.
Escalate breaches, errors, suspicious activity, and service incidents promptly.
Participate in internal audits, client audits, and regulatory reviews.
Support root cause analysis and corrective action implementation.
Contribute to operational resilience and business continuity activities.

Client Service & Stakeholder Management

Provide high-quality service to clients, distributors, investors, and internal stakeholders.
Respond to queries within agreed service standards.
Build effective relationships with clients and operational partners.
Participate in client calls and operational meetings as required.

Team Leadership & Continuous Improvement

Act as a senior escalation point for complex operational issues.
Provide guidance, coaching and training to junior administrators.
Assist managers with workflow prioritisation and resource planning.
Support system enhancements, fund launches, migrations, and change initiatives.
Contribute to process reviews and automation opportunities to improve efficiency and reduce risk.

Skills & Experience

Essential

3–5+ years' experience within Transfer Agency operations.
Strong knowledge of dealing, registration, and AML/KYC processes.
Understanding of UCITS, OEICs, Unit Trusts, AIFs, and related fund structures.
Experience working within regulated financial services environments.
Knowledge of AML regulations, sanctions screening, and customer due diligence requirements.
Strong attention to detail and accuracy.
Excellent organisational and time management skills.
Ability to work effectively under pressure and manage competing priorities.
Strong communication and stakeholder management skills.
Proficiency in Transfer Agency platforms and Microsoft Office applications.

Desirable

IAQ, CISI or equivalent financial services qualification.
Experience with AML screening and workflow systems.
Exposure to fund launches, migrations, and change programmes.
Understanding of FCA, AML and financial crime regulatory requirements.

Key Competencies

Customer Focus
Risk Awareness
Attention to Detail
Problem Solving
Accountability
Teamwork and Collaboration
Communication Skills
Continuous Improvement Mindset
Regulatory & Compliance Awareness

Reporting structure

The Senior Administrator – Transfer Agency will report to the Manager – Transfer Agency.

This role profile is suitable for a senior transfer agency administrator operating across dealing, registration and AML/KYC functions within a UK fund administration or asset servicing environment.

Disclaimer: Unsolicited CVs sent to Apex (Talent Acquisition Team or Hiring Managers) by recruitment agencies will not be accepted for this position. Apex operates a direct sourcing model and where agency assistance is required, the Talent Acquisition team will engage directly with our exclusive recruitment partners.

Apply Now

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Senior Administrator Dealing, Registration and AML/KYC – TRANSFER AGENCY

Role Purpose

The individual will act as a subject matter expert within the team, assisting with complex queries, mentoring junior colleagues, and contributing to process improvements and change initiatives.

Key Responsibilities:

Dealing Administration

Process subscription, redemption, switch and transfer requests accurately and within agreed deadlines.

Validate dealing instructions in accordance with fund prospectuses, client agreements, and operating procedures.

Monitor daily transaction queues and ensure all investor trades are processed within cut-off times.

Investigate and resolve trade exceptions, discrepancies, and unmatched transactions.

Liaise with investors, clients, distributors and intermediaries, regarding dealing,

Ensure all dealing activities comply with regulatory and operational controls.

Registration Administration

Maintain investor registration records accurately and promptly.

Process account opening, amendments, transfers, closures, and investor maintenance requests.

Validate documentation requirements for individual, corporate, trust, and institutional investors.

Process changes to investor details, including addresses, bank accounts, authorised signatories and account mandates.

Manage share transfers, inheritance cases, and complex ownership changes where applicable.

Ensure investor records remain complete, accurate and audit ready.

Handle investor correspondence and service requests in line with service standards.

AML/KYC & Financial Crime Compliance

Perform AML/KYC reviews for new and existing investors.

Validate client identity and beneficial ownership documentation.

Conduct risk-based customer due diligence (CDD) and enhanced due diligence (EDD) activities.

Review sanctions screening, politically exposed person (PEP) results and adverse media alerts.

Identify and escalate potential financial crime concerns in accordance with internal procedures.

Support periodic KYC refresh and remediation projects.

Maintain accurate records of AML/KYC assessments and approvals.

Liaise with Compliance, MLRO and client representatives regarding AML-related matters.

Controls, Risk & Governance

Ensure all tasks are performed in accordance with documented procedures and control frameworks.

Identify operational risks, control weaknesses, and service issues.

Escalate breaches, errors, suspicious activity, and service incidents promptly.

Participate in internal audits, client audits, and regulatory reviews.

Support root cause analysis and corrective action implementation.

Contribute to operational resilience and business continuity activities.

Client Service & Stakeholder Management

Provide high-quality service to clients, distributors, investors, and internal stakeholders.

Respond to queries within agreed service standards.

Build effective relationships with clients and operational partners.

Participate in client calls and operational meetings as required.

Team Leadership & Continuous Improvement

Act as a senior escalation point for complex operational issues.

Provide guidance, coaching and training to junior administrators.

Assist managers with workflow prioritisation and resource planning.

Support system enhancements, fund launches, migrations, and change initiatives.

Contribute to process reviews and automation opportunities to improve efficiency and reduce risk.

Skills & Experience

Essential

3–5+ years' experience within Transfer Agency operations.

Strong knowledge of dealing, registration, and AML/KYC processes.

Understanding of UCITS, OEICs, Unit Trusts, AIFs, and related fund structures.

Experience working within regulated financial services environments.

Knowledge of AML regulations, sanctions screening, and customer due diligence requirements.

Strong attention to detail and accuracy.

Excellent organisational and time management skills.

Ability to work effectively under pressure and manage competing priorities.

Strong communication and stakeholder management skills.

Proficiency in Transfer Agency platforms and Microsoft Office applications.

Desirable

IAQ, CISI or equivalent financial services qualification.

Experience with AML screening and workflow systems.

Exposure to fund launches, migrations, and change programmes.

Understanding of FCA, AML and financial crime regulatory requirements.

Key Competencies

Customer Focus

Risk Awareness

Attention to Detail

Problem Solving

Accountability

Teamwork and Collaboration

Communication Skills

Continuous Improvement Mindset

Regulatory & Compliance Awareness

Reporting structure

The Senior Administrator – Transfer Agency will report to the Manager – Transfer Agency.

This role profile is suitable for a senior transfer agency administrator operating across dealing, registration and AML/KYC functions within a UK fund administration or asset servicing environment.