Transfer Agent Governance Analyst

Ameriprise Financial Services, LLC is a financial services company with a focus on client-centric solutions. The Transfer Agent Governance Analyst will oversee operational and governance functions performed by the Fund Transfer Agent, ensuring compliance with regulatory requirements and internal standards.

Responsibilities

• Mitigate risk and protect investors by conducting research and analysis related to financial crime, fraud, and suspicious activity, partnering with internal compliance teams
• Assist with detective processes involving at risk customers and high risk customers
• Support department by assisting with TA-1 and TA-2 filings, state "Bank Match" program administration, Pay-to-Play reporting, foreign account reporting, and other regulatory processes
• Draft complaint responses to customer complaints and escalations in alignment with firm standards
• Maintain logs of complaints and report to management in accordance with written procedures
• Manage end-to-end fulfillment of regulatory mailings for mutual fund and ETF products, ensuring accuracy, timeliness, and audit readiness
• Monitor Transfer Agent performance and operational processes, identifying risks, control gaps, and opportunities for process improvement
• Collaborate cross-functionally with Legal, Compliance, Operations, and service providers to drive issue resolution and continuous improvement
• Manage subpoena intake and response coordination, ensuring adherence to legal and regulatory obligations

Skills

• 1- 3 years experience or knowledge of mutual fund and US retirement account operations
• Excellent writing skills
• Demonstrated ability to manage tasks independently with a high degree of accuracy and attention to detail
• Strong organizational skills with the ability to prioritize and consistently meet deadlines
• Openness to feedback and willingness to develop skills within a structured, team-oriented setting
• Applicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States

Benefits

• Variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role
• Vacation time
• Sick time
• 401(k)
• Health, dental and life insurances

Company Overview