Lead and oversee regulatory operations for the transfer agency team, including tax reporting, escheatment, and AML compliance.
Manage 1–2 direct reports, providing guidance, coaching, and performance oversight.
Ensure quality control of account setups, trades, and tax forms, advancing items efficiently through the review process.
Escalate and resolve account-related issues by collaborating with internal teams and stakeholders.
Analyze and calculate cost basis for shareholder accounts as needed.
Responsible for shareholder tax reporting, control reporting, and alternatives account review.
Review and analyze tax forms (1099, 1042, 5498), retirement account compliance, and troubleshoot issues with clients and internal departments.
Communicate professionally and clearly with clients, intermediaries, and internal teams regarding regulatory matters.
Test and review system functionality for new fund setups.
Stay current on AML, tax, and other regulatory requirements and ensure team adherence.
Lead special projects and initiatives related to operational efficiency, risk management, and regulatory compliance.
Recommend new procedures and develop creative solutions to wide-ranging and complex issues.

Minimum of 5 years of financial services regulatory experience in Transfer Agency, Investor Services, or a wire house, including some leadership or supervisory experience.
Experience in escheatment, tax reporting, or AML strongly preferred.
Familiarity with TA2000 or similar systems is a plus.
Proven ability to manage regulatory processes and act as a liaison between intermediaries, clients, and internal teams.
Strong track record of meeting government and regulatory deadlines.
Ability to mentor and guide a small team while maintaining hands-on involvement in key regulatory tasks.
Strong analytical, problem-solving, and communication skills.
Willingness to work on site at least 6 days per month at one of our office locations.

Transfer Agency Regulatory Manager

Key skills