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About the Role

The Sr. Lead UK Transfer Agency-Operations position is a critical individual contributor role within UK Transfer Agency (UKTA), accountable for operational leadership, service delivery, governance and control oversight across UK, Ireland and India activity. The role supports the Head of UKTA by leading BAU operational management, maintaining an effective control environment, driving regulatory compliance, supporting client and prospect engagement, and delivering strategic priorities across service, risk, efficiency and transformation. The role has senior operational accountability across a multi-location UKTA operating model, supporting complex fund administration and shareholder servicing activity across onshore, nearshore and offshore teams. The role requires oversight of high-volume, time-critical BAU activity, regulatory obligations, client change, operational resilience events, service-critical processes and cross-functional stakeholder management. The role is expected to operate as a senior escalation point, trusted adviser and accountable owner for operational execution, ensuring the function remains scalable, controlled and aligned to UKTA, regional and global Transfer Agency strategy.

Responsibilities

Lead the evolution of the UKTA regional operating model, partnering with TA executive leadership to scale processes, simplify activity, implement automation and deliver strategic change initiatives.
Maintain a robust operational control environment, ensuring that risks, incidents, breaches, audit findings and control gaps are identified, assessed, escalated and remediated in line with governance expectations.
Ensure operational processes remain aligned to relevant regulatory obligations, including CASS, AML/FCC, Consumer Duty, operational resilience, data privacy and applicable fund administration requirements.
Support RFPs, prospect presentations, due diligence activity, new business onboarding, existing client engagement and senior client escalations on behalf of UKTA Operations.
Act as a senior escalation point for regulatory, operational, service and client-impacting matters, ensuring decisions are appropriately framed, documented, escalated and resolved with urgency and control.
Support business continuity activity, operational management of outages, SLA-critical incidents and operational resilience events, ensuring clear ownership, communication and recovery discipline.
Represent UKTA in relevant internal governance forums, client meetings, executive updates and external industry forums, ensuring the operational perspective is clearly articulated.

Requirements

Significant experience in Transfer Agency, fund administration, asset servicing, investment operations or a comparable regulated financial services environment.
Detailed understanding of end-to-end Transfer Agency operational processes, including dealing, registration, settlement, distributions, commissions, investor servicing and operational oversight.
Strong knowledge of collective investment schemes, Authorised Contractual Schemes, Long Term Asset Funds and relevant regulatory frameworks, including CASS, AML/FCC, Consumer Duty, operational resilience and data privacy.
Strong judgement in operational risk, issue management, incident resolution, root cause analysis and control remediation, with the ability to operate effectively under pressure.
Track record of delivering operating model change, process improvement, automation, workflow enhancement, technology adoption or cross-jurisdiction programme delivery.
Strong stakeholder management, presentation and communication skills, with experience engaging senior leadership, clients, auditors, regulators, oversight teams and offshore or nearshore partners.
Ability to manage resources, budgets, capacity, workforce planning and service priorities in a controlled and commercially effective manner.
Familiarity with Transfer Agency platforms, workflow tools, client servicing systems and reporting solutions.
Strong understanding of payment, settlement, reconciliation, investor record keeping and operational data processes.
Demonstrated ability to use MI, dashboards, KPI/KRI reporting and trend analysis to manage service, risk, capacity and efficiency.
Working knowledge of automation, workflow improvement, control design and operational process optimisation.
Applicants must have the right to work in the United Kingdom at the time of application and for the duration of employment.
Northern Trust is unable to provide visa sponsorship for this role.

Skills

Transfer Agency
Fund Administration
Asset Servicing
Investment Operations
Regulated Financial Services
CASS
AML/FCC
Consumer Duty
Operational Resilience
Data Privacy
Stakeholder Management
Presentation Skills
Communication Skills
MI Reporting
Dashboarding
KPI/KRI Reporting
Trend Analysis
Automation
Workflow Improvement
Control Design
Process Optimisation

Location

United Kingdom

Work Type

Full-time

Experience Level

Senior

Education Level

Degree-level education or equivalent industry experience
Relevant financial services, Transfer Agency, fund administration, risk, compliance or investment operations qualifications would be beneficial.
Project, change, Lean, Six Sigma, Agile or process improvement qualifications would be advantageous.

Benefits

Flexible and collaborative work culture
Strong history of financial strength and stability
Movement within the organization is encouraged
Senior leaders are accessible
Inclusive workplace
Assisting the communities we serve
Philanthropy is deeply rooted in Northern Trust’s history
Reasonable Accommodation

About the Company

As a global leader in innovative wealth management, asset servicing, asset management and banking services, Northern Trust (Nasdaq: NTRS) is proud to guide the world’s most successful individuals, families, corporations and institutions.
Since 1889, we have aligned our efforts with our three guiding Principles That Endure: Service, Expertise, and Integrity. Together, they reflect the three cornerstones of business conduct which we strive to instill in our employees, whom we call partners, and to provide to our clients and the communities we serve worldwide.
With more than 135 years of financial experience and over 24,000 partners, we serve the world’s most sophisticated clients using leading technology and exceptional service.