Client Operations Lead Analyst

Role Summary:

The Client Operations team has associates based in Geneva, London, Singapore and Sydney and is responsible for supporting the operational aspects of pooled and separate account investors across Europe and Asia as well as overseeing the outsourced transfer agency function for our Australia, Luxembourg and UK fund ranges. The Lead Analyst in Sydney will will focus mainly on our Australia domiciled funds, working independently to provide superior service to investors, directly or indirectly, as part of the Responsible Entity and fund manager/product issuer responsibilities, as well as perform oversight on the outsourced unit registry.

• Monitors, supports and oversees the outsourced unit registry's overall service delivery including for applications, transactions, maintenance, AML/KYC and distributions.
• Ensures that investors including platforms/dealer groups and internal stakeholders' queries are answered in a consistently prompt & professional manner
• Responsible for management fee rebates agreements and platform agreements and the associated fees payment
• Responsible for distributor oversight including AU DDO reporting and due diligence
• Acts as a liaison for our Europe-based Tax and Fund Administration teams, to assist where required to custody, fund account and financial reporting matters
• Represents the team in projects and initiatives including regulatory projects, digital enhancements and share class rationalization.
• Stays abreast of AU fund industry development, builds network and participates in industry forums and working groups as required.

Primary responsibilities:

• Monitors, supports and oversees the outsourced unit registry service delivery

• Serves as the escalation point for the outsourced unit registry on investor dealing and AML/KYC matters

• Reviews the service levels to ensure they are met with regards to accuracy and timeliness of investor reporting, distributions, rebates processing and investor communication.

• Monitors and shares information regarding quality of service delivery by external service providers by providing feedback in team discussions and with managers, and where relevant, contributes to formulating service expectations.

• Assess and resolve issues in a timely manner per agreed procedure or escalate to manager and internal teams appropriately to find resolution, taking account of materiality, complexity and risk factors.

• Performs certain checks on outsourced tasks to assess the accuracy and service quality of the outsourced unit registry, as well as for internal monitoring purposes

• Provides high level of service to existing and prospective investors as well as internal clients

• Builds a strong and collaborative working relationship with our unit registry, and seek to understand their processes and constraints

• Addresses queries in a timely manner, informing on delivery timeframes & complexity as relevant.

• In situations of interaction with investors including platforms and dealer groups, is mindful to demonstrate CG's commitment to superior client service and overall excellence.

• Proactively captures and seeks out information about prospects and existing investors in order to gain a better understanding of client context and perspective.

• Considers relevant regulatory requirements and data secrecy / protection.

• Manages platform and Management Fee Rebates (MFR) agreements and payments

• Responsible for the drafting and negotiation of agreements by working closely with Legal & Compliance and Sales team

• Maintains a strong relationship with or knowledge of the platforms and asset consultants/wealth managers either directly or via Client Relations during the lifecycle of the relationship especially on the relevant operational considerations, and troubleshoots any issues with all relevant parties.

• Ensures investor details and classifications, are correctly captured in relevant CG systems and instructed to the outsourced transfer agency

• Oversees the process of the calculation of management fee rebates and platform fees paid out by working closely with internal fees team and unit registry

• Conducts distributor oversight including AU DDO reporting and due diligence

• Responsible for the quarterly AU DDO monitoring of activities and distributor reporting to report to governance group

• Responsible for distributor due diligence with relevant dealer groups and platforms and liaise closely with Legal & Compliance on

• Provides assessment to DDO working groups both internal and external

• Builds a strong understanding of the investor lifecycle and the unit registry processes; designs and implements business procedures to support a risk-based environment within an effective governance framework

• Be a SME who understands the role and responsibilities for the unit registry, and is familiar with the agreements, SLDs, and also the role of CG responsible entity and the regulatory expectations. To be able to connect the dots as well as articulate processes and their rationale to internal stakeholders.

• Stay in touch with industry peers, investors and local networks to understand industry trends, best practices, to propose improvements to the control environment both within the team and with broader stakeholders.

• Acts as a liaison for our Europe-based Tax and Fund Administration teams, to assist where required to custody, fund account and financial reporting matters

• Leveraging ATO business portals to approve for tax reclaim certification per requirement from ATO

• Assists with governance and regulatory reporting obligations

• Liaises with the outsourced unit registry and outsourced fund admin on BAU including quarterly and financial year-end distributions

• Act as a liaison in projects and assists in queries from internal teams and investors at it relates to tax and distribution matters where necessary

• Contributes to the quality of team processes and business acumen

• Identifies and discusses any perceived gap(s) in operations/business processes.

• Recommends improvements relative to risk and/or efficiency.

• Monitors & updates internal procedures, and identifies areas for documentation improvement.

• Stays informed on industry developments and actively demonstrates curiosity and initiative to learn.

• Performs additional responsibilities as assigned

Business & Technical Skills:

• Consistently demonstrates effective written and oral communication skills with a diverse group of associates including external parties and senior business leaders.
• Demonstrates and develops in-depth knowledge of the AU managed funds industry, investor services, applicable regulation, industry guidelines and practices, trends, and technology. Demonstrates ability to apply those to work assignments.
• Consistently demonstrates the ability to evaluate and appropriately address data confidentiality & security concerns when dealing with associates beyond Client Operations & more broadly.
• Demonstrates effectiveness in being a Client Operations subject matter expert and an active participant in a variety of meetings and settings.
• Demonstrates ability to effectively collaborate with others to meet shared objectives, and develops relationships within the team, other internal teams generally and with external parties including service providers.
• Is attentive to detail and in particular when providing information about CG funds', policies and services to investors or their representatives.
• Demonstrates in-depth knowledge of investor servicing and related processes, including but not limited to CG AU funds' PDSes and Information Incorporated by Reference (IIR), specific regulatory (including AU DDO, RG97) and general CG best practice guidelines, including other CG teams' organization, concerns and priorities.
• Consistently demonstrates effective and professional service orientation, and in particular the ability & drive to effectively prioritize and balance different interests or perspectives (e.g. specific client considerations versus standard procedures) in elaborating solutions.

Competencies:

• Ensures Accountability - Holds self and others accountable to meet commitments
• Manages Complexity - Makes sense of complex, high quantity and sometimes contradictory information to effectively solve problem.
• Customer Focus - Building strong customer relationships and delivering customer-centric solutions.
• Interpersonal Savvy - Relates openly and comfortably with diverse groups of people.
• Drives Results - Consistently achieving results, even under touch circumstances.
• Values Differences - Recognizes the value that different perspectives and cultures bring to an organization.
• Demonstrates Self Awareness - Uses a combination of feedback and reflection to gain productive insight into personal strengths and weaknesses.
• Situational Adaptability - Adapts approach and demeanor in real time to match the shifting demands of different situations.

In addition to a highly competitive base salary, per plan guidelines, restrictions and vesting requirements, you also will be eligible for an individual annual performance bonus, plus Capital's annual profitability bonus plus a retirement plan where Capital contributes 15% of your eligible earnings.

You can learn more about our compensation and benefits here.

We are an equal opportunity employer, which means we comply with all federal, state and local laws that prohibit discrimination when making all decisions about employment. As equal opportunity employers, our policies prohibit unlawful discrimination on the basis of race, religion, color, national origin, ancestry, sex (including gender and gender identity), pregnancy, childbirth and related medical conditions, age, physical or mental disability, medical condition, genetic information, marital status, sexual orientation, citizenship status, AIDS/HIV status, political activities or affiliations, military or veteran status, status as a victim of domestic violence, assault or stalking or any other characteristic protected by federal, state or local law.