Transfer Agency Operational Controls and Business Readiness Manager
Apex Group · Chelmsford
The Apex Group was established in Bermuda in 2003 and is now one of the world’s largest fund administration and middle office solutions providers.
Our business is unique in its ability to reach globally, service locally and provide cross-jurisdictional services. With our clients at the heart of everything we do, our hard-working team has successfully delivered on an unprecedented growth and transformation journey, and we are now represented by over circa 13,000 employees across 112 offices worldwide.Your career with us should reflect your energy and passion.
That’s why, at Apex Group, we will do more than simply ‘empower’ you. We will work to supercharge your unique skills and experience.
Take the lead and we’ll give you the support you need to be at the top of your game. And we offer you the freedom to be a positive disrupter and turn big ideas into bold, industry-changing realities.
For our business, for clients, and for you
TRANSFER AGENCY Operations controls and Business Readiness Manager
Role Purpose
The Transfer Agency Operational Control and Business Readiness Manager is responsible for maintaining a robust control environment across Transfer Agency operations while ensuring operational readiness for business change, client onboarding, regulatory developments, system enhancements, and strategic transformation initiatives.
The role provides independent oversight of operational processes, controls, risks, and governance, while leading readiness activities to ensure people, processes, technology, controls, and training are fully prepared for operational change.
Key Responsibilities
Operational Control & Oversight
Maintain and enhance the Transfer Agency operational control framework.
Perform oversight and controls across:
Dealing
Registration
Transaction Monitoring
Settlements
Reconciliations
Distributions
Monitor and report on Key Risk Indicators (KRIs) and Key Performance Indicators (KPIs).
Identify operational risks, control weaknesses and process improvement opportunities.
Ensure effective implementation and tracking of corrective actions.
Support self-assessments (RCSAs).
Support Operational Resilience and Business Continuity planning activities.
Maintain operational procedures, controls documentation and governance records.
Business Readiness & Change Management
Lead operational readiness assessments for:
New client implementations
Fund launches
Transfers and migrations
System upgrades
Regulatory changes
Strategic business initiatives
Define readiness criteria and go-live requirements.
Coordinate readiness activities across Operations, Technology, Compliance, Risk and Client teams.
Assess operational impacts and capacity requirements.
Ensure implementation of new procedures, controls and workflows.
Track dependencies, risks and readiness milestones.
Conduct go-live readiness reviews and provide recommendations to governance forums.
Risk & Governance
Produce regular operational risk and control reporting.
Present key risks, readiness updates and control metrics to senior management committees.
Maintain risk registers and action logs.
Support internal and external audits.
Ensure regulatory compliance with FCA and applicable industry regulations.
Drive a culture of risk awareness, accountability and continuous improvement.
Process Improvement
Identify opportunities to improve efficiency, scalability and risk management.
Support automation and digital transformation initiatives.
Lead process redesign and control enhancement projects.
Promote adoption of best practices across Transfer Agency operations.
Stakeholder Management
Collaborate with Operations Managers, Change Teams and Technology partners.
Act as a key liaison between operational teams and project delivery functions.
Support client due diligence and governance meetings.
Build strong relationships with internal and external stakeholders.
Knowledge & Experience
Extensive Transfer Agency experience across multiple operational disciplines.
Strong understanding of Transfer Agency end to end
Experience managing operational risk and controls frameworks.
Experience leading business readiness and implementation activities.
Strong understanding of UK and European regulatory environments.
Experience supporting audits and risk reviews.
Proven project and change management experience.
Strong analytical and problem-solving skills.
Desirable
Experience with TA migrations and client transitions.
Knowledge of Operational Resilience requirements.
Experience with workflow and automation tools.
Skills & Competencies
Operational Risk Management
Control Framework Design
Business Readiness Assessment
Change & Implementation Management
Stakeholder Engagement
Governance & Reporting
Root Cause Analysis
Continuous Improvement
Leadership & Influencing Skills
Regulatory Awareness
Data Analysis & MI Reporting
Decision Making
Disclaimer: Unsolicited CVs sent to Apex (Talent Acquisition Team or Hiring Managers) by recruitment agencies will not be accepted for this position. Apex operates a direct sourcing model and where agency assistance is required, the Talent Acquisition team will engage directly with our exclusive recruitment partners.