Transfer Agent Governance Analyst

Responsibilities

• Mitigate risk and protect investors by conducting research and analysis related to financial crime, fraud, and suspicious activity, partnering with internal compliance teams.
• Assist with detective processes involving at‑risk customers and high‑risk customers.
• Support the department by assisting with TA‑1 and TA‑2 filings, state “Bank Match” program administration, Pay‑to‑Play reporting, foreign account reporting, and other regulatory processes.
• Draft complaint responses to customer complaints and escalations in alignment with firm standards.
• Maintain logs of complaints and report to management in accordance with written procedures.
• Manage end‑to‑end fulfillment of regulatory mailings for mutual fund and ETF products, ensuring accuracy, timeliness, and audit readiness.
• Monitor Transfer Agent performance and operational processes, identifying risks, control gaps, and opportunities for process improvement.
• Collaborate cross‑functionally with Legal, Compliance, Operations, and service providers to drive issue resolution and continuous improvement.
• Manage subpoena intake and response coordination, ensuring adherence to legal and regulatory obligations.

• 1‑3 years experience or knowledge of mutual fund and US retirement account operations.
• Excellent writing skills.
• Demonstrated ability to manage tasks independently with a high degree of accuracy and attention to detail.
• Strong organizational skills with the ability to prioritize and consistently meet deadlines.
• Openness to feedback and willingness to develop skills within a structured, team‑oriented setting.

Employees are expected to be in the office at least four days per week, with flexibility to work from home one day per week.

Applicants must have a valid work authorization that does not require current or future visa sponsorship for employment in the United States.

The estimated base salary for this role is $58,400‑$80,400 per year, with potential variable pay in the form of bonus, commissions, and/or long‑term incentives depending on the role. A full‑benefits program is offered, including vacation, sick leave, 401(k), and health, dental, and life insurance.

Columbia Threadneedle is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, gender expression, national origin, ancestry, age, physical or mental disability, medical condition, pregnancy, military status, veteran status, genetic information, citizenship, disability status, marital status, family status or any other basis prohibited by law. We are committed to fostering an inclusive and accessible recruitment process for individuals with disabilities.

If you require a reasonable accommodation to participate in the application or interview process, speak to your recruiter to discuss how we can support you.