Transfer Agent Governance Analyst

About Our Company

Working at Columbia Threadneedle Investments you'll find growth and career opportunities across all of our businesses. We're intentionally built to help you succeed. Our reach is expansive with a Columbia Threadneedle Investments global team of 2,300 people working together. Our capability is diverse with more than 550 investment professionals sharing global perspectives across all major asset classes and markets. Our clients have access to a broad array of investment strategies, and we have the capability to create bespoke solutions matched to clients' specific requirements. Our unwavering focus on our clients and strong financial foundation connects each of our enterprise businesses — Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities.

Job Description

The TA Governance Analyst is responsible for overseeing operational and governance functions performed by the Fund Transfer Agent, ensuring adherence to regulatory requirements and internal standards. This individual contributor role partners closely with the sub-Transfer Agent and internal stakeholders to manage processes including financial crime and fraud research, regulatory mailing fulfillment, customer complaint responses, privacy incident investigation, and subpoena tracking and coordination.

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 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

Qualifications

• 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