Sr. Lead-UK Transfer Agency (UKTA) Operations

About Northern Trust

As a global leader in innovative wealth management asset servicing asset management and banking services Northern Trust (Nasdaq: NTRS) is proud to guide the worlds 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 24000 partners we serve the worlds most sophisticated clients using leading technology and exceptional service.

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.

Key accountabilities include:

• Operating model and transformation: 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.
• Risk control and governance: 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.
• Regulatory and compliance oversight: Ensure operational processes remain aligned to relevant regulatory obligations including CASS AML/FCC Consumer Duty operational resilience data privacy and applicable fund administration requirements.
• Client and stakeholder engagement: Support RFPs prospect presentations due diligence activity new business onboarding existing client engagement and senior client escalations on behalf of UKTA Operations.
• Escalation and issue management: 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.
• Business continuity and resilience: Support business continuity activity operational management of outages SLA-critical incidents and operational resilience events ensuring clear ownership communication and recovery discipline.
• Industry and governance representation: Represent UKTA in relevant internal governance forums client meetings executive updates and external industry forums ensuring the operational perspective is clearly articulated

The ideal candidate should have a fair amount of the following skills & experience:

• Senior operational leadership: Significant experience in Transfer Agency fund administration asset servicing investment operations or a comparable regulated financial services environment.
• Transfer Agency expertise: Detailed understanding of end-to-end Transfer Agency operational processes including dealing registration settlement distributions commissions investor servicing and operational oversight.
• Regulatory awareness: 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.
• Control and risk judgement: Strong judgement in operational risk issue management incident resolution root cause analysis and control remediation with the ability to operate effectively under pressure.
• Transformation experience: Track record of delivering operating model change process improvement automation workflow enhancement technology adoption or cross-jurisdiction programme delivery.
• Client and executive communication: Strong stakeholder management presentation and communication skills with experience engaging senior leadership clients auditors regulators oversight teams and offshore or nearshore partners.
• Commercial and financial discipline: 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.
• Degree-level education or equivalent industry experience is expected.
• 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.

Work Authorization

Applicants must have the right to work in the United Kingdom at the time of application and for the duration of employment.

Please note that Northern Trust is unable to provide visa sponsorship for this role. This includes Skilled Worker visas Global Business Mobility routes Graduate visas Youth Mobility Scheme High Potential Individual visas Scale-up Worker visas Temporary Worker visas and other employer-sponsored visa categories.

Working with Us

As a Northern Trust partner you will be part of a flexible and collaborative work culture which has a strong history of financial strength and stability. Movement within the organization is encouraged senior leaders are accessible and you can take pride in working for a company committed to an inclusive workplace and assisting the communities we serve.

Philanthropy is deeply rooted in Northern Trusts history and is an essential element of our culture. Employees around the world give their time and talent to work for the greater good of their communities.

Reasonable Accommodation

Northern Trust is committed to working with and providing adjustments to individuals with health conditions and disabilities. If you need a reasonable accommodation for any part of the employment process please email our HR Service Center at or alternatively you can discuss your individual requirements with the recruiter you are working with.