Transfer Agency and Intermediary Oversight, AVP - State Street Investment Management

Position Overview

We are looking for an AVP to oversee Transfer Agency and Intermediary operations, reporting to the Fund’s Deputy Treasurer. The role involves managing day‑to‑day mutual fund operations, ensuring governance standards, and driving continuous improvement across our team and business partners.

• Oversee day‑to‑day mutual fund operations, supervising multiple transfer agents and managing activities such as call center operations, blue‑sky compliance, 22c2 reporting, NSCC trade activity, monthly and quarterly statements, tax forms, daily share‑class activity, foreign accounts, fulfillment, escheatment, and due‑diligence reviews.
• Review monthly/quarterly financial intermediary payments (12(b)-1, shareholder servicing, revenue share), validating reconciliations, handling exceptions, and maintaining accurate documentation.
• Lead annual and quarterly intermediary oversight activities, including monthly meetings, quarterly round‑table discussions, and participation in cross‑functional working groups.
• Facilitate and review financial intermediary contracts and amendments, conduct servicing discussions, and coordinate intermediary set‑ups with transfer agents.
• Prepare quarterly board‑ready reporting.
• Act as a client‑service liaison with internal teams, assist with new product offering set‑ups, and monitor updates to DTCC/Mutual Fund Profile II and other intermediary portals.
• Manage end‑to‑end processing for all in‑kind trades.

• Demonstrated ability to oversee transfer agency and intermediary servicing activities end‑to‑end, anticipating issues and driving timely resolution.
• Strong knowledge of TA operating models and controls, including shareholder servicing (call center), account maintenance, 22c-2/large‑trade reporting, statements/tax forms, escheatment, and periodic due‑diligence.
• Experience reviewing and validating financial intermediary payments (12(b)-1, shareholder servicing, revenue share) with skills in reconciliation and exception management.
• Strong governance and risk mindset; able to document controls, manage issues to closure, and support audit/exam readiness.
• Ability to produce clear, board‑ready reporting and effectively partner across internal teams, transfer agents, and intermediaries.
• Client‑first mindset, disciplined oversight, and a drive to improve operations daily.
• Strong risk discipline, sound judgment, and respect for governance.
• Partnership skills to work effectively across functions and with service providers.
• Commitment to continuous improvement—simplify, standardize, and use data to drive better processes and reporting.
• Attention to detail, follow‑through, and a bias for timely, accurate execution.

• Bachelor’s degree.
• 5‑8 years of relevant experience.
• Strong verbal and written communication and interpersonal skills.
• Knowledge of DTCC/Mutual Fund Profile II, DST Vision, and Financial Intermediary portals.
• Working knowledge of mutual funds, cash/liquidity products, ETFs, interval funds, and alternative structures (plus).

• Competitive salary range: $70,000 – $130,000 annual.
• 401(k) retirement savings plan with company match.
• Comprehensive insurance coverage including basic life, medical, dental, vision, and long‑term disability.
• Paid time off (vacation, sick leave, short‑term disability, family care).
• Employee Assistance Program.
• Eligibility for performance‑based incentive compensation.
• Access to tax‑advantaged savings plans.

We consider all qualified applicants for all positions without regard to race, creed, color, religion, national origin, ancestry, ethnicity, age, disability, genetic information, sex, sexual orientation, gender identity or expression, citizenship, marital status, domestic partnership or civil union status, familial status, military and veteran status, and other characteristics protected by applicable law.