Transfer Agent Governance Analyst

Job Description The TA Governance Analyst is responsible for overseeing operational and governance functions performed by the Fund Transfer Agent, ensuring adherence to regulatory requirements and internal standards. This individual contributor role partners closely with the sub-Transfer Agent and internal stakeholders to manage processes including financial crime and fraud research, regulatory mailing fulfillment, customer complaint responses, privacy incident investigation, and subpoena tracking and coordination. 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. Qualifications 1-3 years experience or knowledge of mutual fund and U.S. 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. Visa Sponsorship: Applicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN). In-Office Collaboration: Employees are expected to work in the office at least four (4) days per week, with flexibility to work from home one (1) day per week.

Benefits Full-time, non-exempt position. Estimated base salary $58,400–$80,400 per year. Eligible for variable pay, bonus, commissions, and/or long-term incentives depending on role and location.

Comprehensive benefits program includes vacation time, sick time, 401(k), health, dental, and life insurance. EEO Statement Columbia Threadneedle is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, gender expression, national origin, ancestry, age, physical or mental disability, medical condition, pregnancy, military status, veteran status, genetic information, citizenship, disability status, marital status, family status or any other basis prohibited by law.

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