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Transition & On-boarding Manager

William Blake Consulting Ltd
London, UK
Closing date
30 Jan 2021

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Contract Type
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Job Details

Main Duties and Responsibilities
  • Manage and co-ordinate the client on-boarding, off-boarding and transitional activity of the businesses pooled funds and Segregated mandates. Including investor activities within the traditional and alternative fund structures
  • Co-ordinate the set-up or change of any legal documentation (side letters, distribution agreements and complex rebate arrangements) pertaining to fund investors ensuring at all times that internal and external stakeholders are kept updated on the status of legal documentation
  • Maintain day-to-day relationships with the fund Transfer Agents (TAs) and pro-actively look to improve and develop operational structure and dealing set-up of the funds by collaborating closely with the TAs. This includes the interaction with a broad range of functions including shareholder services, dealing, On-Boarding, rebate processing, etc.
  • Coordinate significant IMA and Investment guideline changes for Segregated mandates and ensuring execution across the business
  • Work closely with key internal stakeholders: Investment Management teams, Client Directors, Sales, Product Development, and co-ordinate infrastructure teams e.g. Compliance, Legal, Risk, Operations, Fund Accounting, IT to manage client onboarding, fund/mandate launches, closures, and transition events in a timely and efficient manner (transition events to include fund restructures and in species)
  • Manage client communications throughout the event process together with Client facing teams where appropriate
  • Manage communication internally during events to ensure all stakeholders are aware of progress and are contributing towards the target completion dates
  • Manage communication with external parties other than the client e.g. transfer agents, custodians, administrators, transition managers, clearing brokers and other third parties throughout the event
  • Represent the team, department in a professional, collaborative, manner, developing good working relationships with all internal and external parties.
  • Manage and mitigate Risks associated with client onboarding, fund/mandate launches, closures, and transition events
  • Maintain awareness of internal teams processes and controls as well as the changing regulatory environment Respect and Collaboration; Individual Excellence; Integrity
  • Work closely with other onboarding and transition managers in the team as well as Head of Onboarding and Transition Management to ensure full coverage of each event and ensure knowledge is shared in an environment of constant improvement
  • Build and maintain strong relationships with external service and system providers
  • Managing key controls for the Know Your Customer (KYC) process in collaboration with internal stakeholders including Risk and Compliance
  • Work with the Head of Onboarding and Transition Management on ad-hoc project as required

Skills & Competencies
  • Acts with integrity, due skill, care and diligence in carrying out their role
  • Has full understanding and/or awareness of the Compliance Handbook, Compliance Policies and the HR Employee Handbook. Skills and Competencies Essential
  • Has excellent written and oral communication skills and the ability to adapt style of communication for the current audience to successfully articulate issues clearly and logically.
  • Excellent organisation skills showing ability to prioritise workloads and meet hard deadlines
  • Establishes and maintains good relationships and works effectively and cooperatively with others.
  • Communicates constructively, engages others positively and readily shares information and ideas.
  • Works in a collegiate fashion sharing information with, and learning from, others within the team to develop and constantly improve the best practices of the team
  • Ability to act decisively when required and demonstrates self motivated intellectual curiosity
  • Collaborative and personalised approach to service commitment, delivery and continuous improvement
  • Displays a positive and energetic attitude, gets involved and proactively seeks out opportunities to find innovative and creative solutions to problems
  • Sets high standards of performance for self and strives to meet challenging objectives. Acts with integrity and within both the spirit and the letter of the businesses principles, policies and procedures.
  • Considers own role within the commercial context and focusses on the client. Respects obligations to internal and external clients and investors and treat clients fairly.
  • Desirable
  • Has an understanding of fund structures: UCITS, Cayman Trusts, Managed accounts • Has an understanding of fund platforms operated in the market
  • Is able to understand legal contracts such as Investment Management Agreements and Guidelines
  • Has an understanding of the purpose of legal trading agreements: ISDA, GMRA, Clearing Agreements
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