Transfer Agency Compliance, Vice President

A transfer agency compliance vice president develops a thorough understanding of operational practices, ensuring compliance with all regulatory requirements. They oversee filings such as 17Ad-16 notices, manage projects for regulatory changes, and act as a liaison between transfer agency and corporate legal, risk, and audit teams. The role includes overseeing compliance services, conducting operational audits, and maintaining oversight of outsourced providers and international branches. They review and update legal and regulatory documentation and support employee training on risk management and controls. The position requires identifying process improvements, participating in industry groups, and fostering strong stakeholder relationships. Candidates should possess excellent communication skills, influencing abilities, and extensive compliance experience in a registered transfer agency environment.