Operations Oversight & Control Team Leader; Transfer Agency, CASS & Complaints

Operations Oversight & Control Team Leader (Transfer Agency, CASS & Complaints)

Join a leading asset management firm with a highly regarded outsourced operating model and a strong first-line control culture.

We’re looking for an experienced operations oversight / control leader who can run a small team, keep day-to-day controls tight, and raise the bar on oversight across outsourced Transfer Agency services (UK and Luxembourg funds), with particular depth in CASS and complaints oversight. This is a hands‑on leadership role: you’ll be the person the business trusts to bring structure, challenge constructively, and keep delivery consistent, especially when queries are complex, time-sensitive, or high risk.

• Proven experience leading an operations/oversight team or acting as the clear escalation point with strong prioritisation and follow-through
• Confidence operating in a first line controls environment with a demonstrable risk‑based approach
• Strong grip of issues and incidents: escalation, root cause analysis, risk event reporting, and corrective actions
• Technical oversight experience in Transfer Agency / outsourced model: monitoring service delivery, timeliness/quality of deliverables, effective challenge
• Comfortable owning/overseeing a cadence of operational reporting and MI, with trend and root‑cause thinking
• Demonstrable experience across CASS oversight (reconciliations, breach oversight, MI, governance, and associated reporting such as CMAR)
• Solid working knowledge of complaints handling/oversight to ensure regulatory requirements are met and evidenced
• Confidence producing and quality‑checking regulatory returns relevant to operations oversight activity
• Experience overseeing controls around investor & fund flow reporting, AML/KYC documentation oversight, procedure/checklist ownership, clear communication with internal and third‑party providers, and acting as initial escalation point across operational queries, issues and incidents

• Exposure to Luxembourg funds and/or closed‑ended funds
• Demonstrated ability to design/improve process maps, control frameworks, and oversight routines

• Controls are performed consistently, evidenced properly, and improved pragmatically
• The oversight relationship with the outsourced provider is professional, structured, and appropriately challenging
• MI isn’t just produced—it’s used (themes, trends, actions, and measurable improvement)
• The team is well‑coached, confident, and developing capability against a clear plan
• Risks and incidents are surfaced early, handled cleanly, and don’t repeat

Integrity & accountability (doing the right thing, owning outcomes, high standards)

Mid‑Senior level, full-time, Finance and Administrative, Investment Management.

This one will suit you if you enjoy bringing clarity, rigour, and calm delivery into a busy operational environment.