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
At Ameriprise Financial, we have been helping people feel more confident about their financial future for over 130 years. It was founded in 1990, and is headquartered in Vancouver, Washington, USA, with a workforce of 5001-10000 employees. Its website is https://www.kpsinc.net.