Team Lead, Transfer Agency
Northern Trust Corporation
Pune, Maharashtra, India
29d ago


Founded in Chicago in 1889, Northern Trust is one of the world’s leading financial institutions. We specialise in providing asset servicing solutions and asset management to both institutional and personal clients.

The delivery of products and services to this client base is supported through a network of offices around the globe.


The Registration Team is responsible for the creating of new investment records and maintaining existing Client, Investor and Agent records according to regulatory, compliance and operational requirements.

This role is for a Team Leader within the Registration Team


  • Supervise the processing and quality checking of a wide range of dealing transactions through our systems, to regulatory and client standards
  • Ensuring that the team’s work is completed to deadlines
  • Manage review queues and mailboxes and ensure that questions and / or escalated issues are addressed promptly ensuring that any outstanding issues are followed through to resolution.
  • Monitors and reports on various fund transactions. Makes recommendations to manager on procedure changes.
  • Resolving any identified audit or regulatory issues within the agreed timeframe.
  • Partner performance is monitored and feedback is provided through monthly one to one meetings
  • Engenders close working relationships with other areas, such as the Home Location and Finance departments
  • Ensure all internal and external errors are documented in error tracker with proper description and incidents raised in timely manner.
  • To facilitate regular team meetings
  • To work with the Manager and Group projects area on any allocated Client projects.
  • Fulfil additional, relevant, tasks appropriate to the role and business requirements
  • Escalation point for unresolved issues to the Bangalore TA team
  • Set partner objectives and monitors these and provides feedback through monthly one to one meetings
  • Provides management and guidance to staff, fostering an environment which encourages employee participation, teamwork, and communication.
  • Respond to queries relating to Registration internally / externally to Transfer Agency (inter departments)
  • Maintenance, adherence and training of team in relation to procedures, guidance notes, regulation and client specific requirements / deliverables and segregation of duty.

    Employees are required to comply with the regulatory regime in which Northern Trust operates as appropriate to the above role.

    Employees are expected to exercise due care and diligence, ensuring the areas the incumbent is responsible for are organised and controlled.

    Employees are required to observe proper standards of market, business and personal conduct, demonstrating integrity in the execution of duties.

  • Internal Clients
  • Ireland Transfer Agency

    Demonstrate a good understanding of Dealing, Registration and Finance.

    Demonstrate a detailed working knowledge of the dealing and registration processes

    Experience of taking leadership of processes or people

    Ability to work to set deadlines

    Attention to detail and strong accuracy

    Ability to use Excel and Word competently

    Analytical skills are required to research and resolve enquiries

    Ability to multi-task

    Client Service experience, preferably gained in an investment administration environment

    Knowledge and understanding of FSA / HMRC / Ireland / Guernsey regulatory Environment

    Overall 6 years of experience and 2 years in the current role


    Interpersonal (relationship builder, respectful, resolves problems, people friendly and organisational savvy)

    Communication (presentation skills, listening skills, oral communication skills, allows others to express themselves and written communication skills)

    Self-management (adaptability and resilience, learning behaviour, integrity and ethics and relationship builder)

    Motivation (performance standards, achieving results and persistent)

    Thinking (creative thinking decision making, input seeking ,logical thinking and solution finding)

    Organisational Knowledge (business knowledge, expert knowledge and external events impact)

    Client Service and Quality (quality, relationship building and client satisfaction)

    Administration (Anticipates needs, execution, planning, process specialist, quality seeker and time management)

    Leadership (Addresses difficult issues, builds effective teams focused on goals, champions new initiatives, fosters development, gives timely feedback and coaching, Idea generator and sets challenging performance standards )

    For more than a century, Northern Trust has worked hard building our legacy of outstanding service, expertise and integrity.

    From a Chicago-based bank founded in 1889, we now have more than 20 international locations and 16,500 employees globally.

    We serve the world’s most-sophisticated clients from sovereign wealth funds and the wealthiest individuals and families, to the most-

    successful hedge funds and corporate brands.

    We burnished our reputation as a global leader delivering innovative investment management, asset and fund administration, fiduciary and banking solutions enabled by sophisticated, leading technology.

    And through it all, we continually laid a solid, forward-looking foundation on which future generations can continue growing and achieving greater.

    Visit our Careers Site and Talent Network at http : / /

    Like us on http : / / / NTcareers and Follow us on Twitter NTcareers

    It is the policy and practice of Northern Trust to provide equal employment opportunities to all employees and applicants.

    Northern Trust does not discriminate on the basis of race, colour, religion or belief, nationality, ethnic or national origin, sex, marital status, sexual orientation, disability or age.

    All employment decisions will be made in a non-discriminatory manner in accordance with our obligations under the law and codes of practice.

    This includes human resources’ decisions relating to recruitment, terms and conditions of employment, transfers, promotions and access to learning and development.


    Northern Trust does not authorize external parties to conduct recruiting events or extend offers of employment on its behalf.

    It is also not our policy to charge or collect fees of any kind from educational institutions or from candidates for participation in a recruitment event, recruitment process, or to receive offers of employment.

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