Stamford or Boston - Transfer Agency and Intermediary Oversight, AVP - State Street Investment Management
State Street · Boston, United States +1 · 1mo ago
We are looking for a Transfer Agency and Intermediary Oversight, AVP reporting to Fund’s Deputy Treasurer. We are seeking someone with significant transfer agency and financial intermediary operations experience who can join us as an AVP responsible for oversight and reporting of such operations. This individual will help develop operational priorities, ensure governance standards are met and drive continuous improvement for themselves, our team, and our business partners.
The team you will be joining is a part of State Street Investment Management, one of the largest asset managers in the world. We partner with many of the world’s largest, most sophisticated investors and financial intermediaries to help them reach their goals through a rigorous, research-driven investment process. With over four decades of experience and trillions of dollars in assets under management, we offer one of the broadest selections of services across asset classes, risk profiles, regions and styles. As pioneers in index, ETF, and ESG investing, we are always inventing new ways to invest.
Join us if making your mark in the asset management industry from day one is a challenge you are up for.
As the Transfer Agency and Intermediary Oversight, AVP you will:
- Manage day-to-day mutual fund operations overseeing multiple Transfer Agents. Transfer Agent oversight includes: call center, blue sky, 22c2, manage, NSCC trade activity, monthly/quarterly statements, tax forms, daily cap stock activity, foreign accounts, fulfillment, escheatment, along with quarterly and annual due diligence reviews.
- Assist in the review of monthly/quarterly Financial Intermediary payments for 12(b)-1, Shareholder Servicing and Revenue Share.
- Assist with annual intermediary oversight activity, lead quarterly meetings, attend intermediary round table discussions and participate in our cross-functional working group.
- Facilitate and review financial intermediary contracts, contract amendments, conduct servicing discussions with intermediaries and coordinate Intermediary set ups with transfer agents.
- Prepare quarterly board reporting.
- Client Service – assist as a point of contact/liaison with internal teams
- Work with transfer agents to implement and complete set up of new product offerings.
- Monitor and update DTCC/ Mutual Fund Profile II and monitor other intermediary portals.
- Manage end to end process for all in-kind trades
In this role, success comes from a strong client-first mindset, disciplined oversight, and a drive to improve how we operate—every day
- Client focus and accountability—own outcomes, communicate clearly, and escalate issues early.
- Strong risk mindset—operate with control discipline, sound judgment, and respect for governance.
- Partnership—work effectively across functions and with service providers to deliver excellent results.
- Continuous improvement—simplify, standardize, and use data to drive better processes and reporting.
- Operational excellence—attention to detail, follow-through, and a bias for timely, accurate execution.
These skills will help you succeed in this role
- Demonstrated ability to oversee transfer agency and intermediary servicing activities end-to-end, anticipate issues, and drive 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 (e.g., 12b-1, shareholder servicing, revenue share), including reconciliation, exception handling, and documentation.
- 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.
Education & Preferred Qualifications
- Bachelor’s degree
- 5-8 years of experience
- Strong verbal and written communication and interpersonal skills
- Knowledge of and experience with DTCC/Mutual Fund Profile II, DST Vision and Financial Intermediary portals
- Working knowledge of mutual funds and cash/liquidity products but also ETFs, interval funds and other alternative structures is a plus.
About State Street
Across the globe, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability. We keep our clients at the heart of everything we do, and smart, engaged employees are essential to our continued success.
We are committed to fostering an environment where every employee feels valued and empowered to reach their full potential. As an essential partner in our shared success, you’ll benefit from inclusive development opportunities, flexible work-life support, paid volunteer days, and vibrant employee networks that keep you connected to what matters most. Join us in shaping the future.
As an Equal Opportunity Employer, 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.
Discover more information on U.S. jobs at StateStreet.com/careers
Salary Range:
$70 000 - $130 000 AnnualThe range quoted above applies to the role in the primary location specified. If the candidate would ultimately work outside of the primary location above, the applicable range could differ.
Employees are eligible to participate in State Street’s comprehensive benefits program, which includes: our retirement savings plan (401K) with company match; insurance coverage including basic life, medical, dental, vision, long-term disability, and other optional additional coverages; paid-time off including vacation, sick leave, short term disability, and family care responsibilities; access to our Employee Assistance Program; incentive compensation including eligibility for annual performance-based awards (excluding certain sales roles subject to sales incentive plans); and, eligibility for certain tax advantaged savings plans.
For a full overview, visit https://hrportal.ehr.com/statestreet/Home.
About State Street
Across the globe, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability. We keep our clients at the heart of everything we do, and smart, engaged employees are essential to our continued success.
We are committed to fostering an environment where every employee feels valued and empowered to reach their full potential. As an essential partner in our shared success, you’ll benefit from inclusive development opportunities, flexible work-life support, paid volunteer days, and vibrant employee networks that keep you connected to what matters most. Join us in shaping the future.
As an Equal Opportunity Employer, 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.
Discover more information on jobs at StateStreet.com/careers
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Job Application Disclosure:
It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.