Asset Management - UK TA Oversight, Senior Associate

2w2 weeks ago

JPMorgan Chase & Co.

London, GB · Full-time · £65,000 – £85,000

About this role

This role sits within JPMorgan Chase's Asset Management division, providing dedicated oversight of the UK Transfer Agency (TA) function. As a Senior Associate, you will be the key point of contact ensuring that third-party TA services meet the highest standards of client service, regulatory compliance, and operational excellence.

Day-to-day, you will monitor client service trends, manage complex complaints, and oversee critical TA responsibilities including dealing, cashflow monitoring, settlements, and AML. You will also conduct regular in-person site visits with the TA and other vendors, acting as a delivery manager to foster a collaborative partnership built on mutual trust and transparency.

You will join a team that places Consumer Duty at the heart of decision-making, working closely with investment desks, product development, compliance, and risk functions across EMEA. The environment is fast-paced and client-focused, requiring strong relationship management skills to build partnerships with both internal stakeholders and multiple third-party vendors.

This role offers the opportunity to lead change initiatives such as Accelerated Settlement and process simplification, while representing UK TA Oversight within Asset Management governance forums. It is an excellent opportunity for a seasoned professional to deepen their expertise in fund operations and regulatory oversight within a leading global financial institution.

Requirements

Client focus with a strong commitment to integrity, delivery, and responsibility.
Ability to build and maintain partnerships with key external and internal stakeholders, including product development, operations, investment desks, compliance, risk, tax, and audit functions.
Excellent written and verbal communication skills with an ability to articulate complex ideas, concepts, and solutions clearly and appropriately for the audience.
Strong relationship management skills to foster collaborative partnerships with multiple third-party vendors supporting the UK Funds business.
Proven ownership and continuous improvement mindset, with the ability to drive process enhancements and regulatory projects.
Experience in Transfer Agency oversight, asset management operations, or a related financial services role.

Responsibilities

Provide client service oversight, including monitoring client trends, issue management, post-call surveys, and referrals of queries outside TA responsibility.
Oversee typical TA responsibilities including Dealing, Cashflow monitoring, Settlements, Registrations, Rebate Processing, AML, and Tax Reporting.
Manage and oversee the TA to ensure high-quality service delivery through KPIs, SLAs, and compliance with contractual obligations.
Conduct regular in-person site visits with TA and other vendors to maintain oversight and act as delivery manager.
Lead and manage change initiatives, including holistic client service improvements, process simplification, and regulatory projects such as Accelerated Settlement.
Oversee complaints, chair the monthly European Complaints Forum, review trends, and ensure FCA reporting is completed.
Analyse errors and breaches, understand TA control failures, and explore preventative actions both within TA and internally.
Represent UK TA Oversight within Asset Management Governance forums and produce relevant reporting.

Benefits

Opportunity to work at a leading global financial institution with a strong commitment to client outcomes and Consumer Duty.
Exposure to senior-level governance forums and cross-functional collaboration across EMEA.
Ability to lead impactful change initiatives within a major asset management division.
Professional development through management of complex client issues and regulatory projects.