Role Summary
The Analyst will assist with overseeing the outsourced transfer agency provider for CG's UK OEIC funds ensuring they are adhering to expected SLAs and deliverables. Assist the CASS Officer in maintaining the governance and oversight frameworks to monitor the operational effectiveness of processes, systems, and controls to achieve compliance with the FCA CASS rules. The Analyst will also act as an escalation for investor servicing needs, including transactions in CG's UK OEICSs, transfer agency account openings, and coordinating the drafting & negotiation of relevant legal agreements.
Primary responsibilities
- Monitors quality of service delivery by external service providers, with respect to key regulatory & operational requirements applying to UK OEICs including CASS.
- Ability to manage complex issues by being solution oriented and escalating / informing manager or the CASS Officer
- Comfortable in documenting processes, business cases or statements for project related requests including collating packs, management information and minutes.
- Collaborate with the CASS Officer to maintain an effective CASS risk and control framework, ensuring compliance with Capital Group policies and relevant regulations.
- Identify, document, and mitigate current and emerging CASS risks by working with other business areas, and review CASS breaches, maintaining oversight of remedial actions.
- Maintain up-to-date knowledge of regulatory changes, assist with due diligence reviews, CASS audit process and oversee CASS-related processes by third-party providers.
- Provides high level of service to existing and prospective investors as well as internal clients, including account opening process, negotiation of legal agreements
- Monitors and manages investors' dealing activity, including communicating and coordinating with other relevant departments
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Qualifications
- Educated to Degree level (or equivalent).
- 3 - 5 years' experience of working within an asset management company with experience of UK domiciled fund offerings, in a transfer agency oversight and/or investor support function
- Detailed understanding of FCA CASS rules with business and operational knowledge/experience with a focus on CASS 7 ideally with experience in a CASS oversight function or similar
- Strong verbal and written communication skills with an ability to articulate issues clearly and logically, and effective in communicating with internal and external stakeholders
- Strict attention to detail, execution accuracy and high service quality orientation
- Flexible, adaptable, and able to multi-task in a fast paced and changeable environment
- Strong analytical, written skills and presentation skills
- Continuous improvement mindset
In addition to a highly competitive base salary, per plan guidelines, restrictions and vesting requirements, you also will be eligible for an individual annual performance bonus, plus Capital's annual profitability bonus plus a retirement plan where Capital contributes 15% of your eligible earnings.
You can learn more about our compensation and benefits here.
* Temporary positions in Canada and the United States are excluded from the above mentioned compensation and benefit plans.
We are an equal opportunity employer, which means we comply with all federal, state and local laws that prohibit discrimination when making all decisions about employment. As equal opportunity employers, our policies prohibit unlawful discrimination on the basis of race, religion, color, national origin, ancestry, sex (including gender and gender identity), pregnancy, childbirth and related medical conditions, age, physical or mental disability, medical condition, genetic information, marital status, sexual orientation, citizenship status, AIDS/HIV status, political activities or affiliations, military or veteran status, status as a victim of domestic violence, assault or stalking or any other characteristic protected by federal, state or local law.