SS&C Technologies

Transfer Agency Regulatory Manager

SS&C Technologies

full-time

Posted on:

Location Type: Hybrid

Location: Denver • Colorado • Massachusetts • United States

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Salary

💰 $80,000 - $160,000 per year

About the role

  • Lead and oversee regulatory operations for the transfer agency team, including tax reporting, escheatment, and AML compliance.
  • Manage 1–2 direct reports, providing guidance, coaching, and performance oversight.
  • Ensure quality control of account setups, trades, and tax forms, advancing items efficiently through the review process.
  • Escalate and resolve account-related issues by collaborating with internal teams and stakeholders.
  • Analyze and calculate cost basis for shareholder accounts as needed.
  • Responsible for shareholder tax reporting, control reporting, and alternatives account review.
  • Review and analyze tax forms (1099, 1042, 5498), retirement account compliance, and troubleshoot issues with clients and internal departments.
  • Communicate professionally and clearly with clients, intermediaries, and internal teams regarding regulatory matters.
  • Test and review system functionality for new fund setups.
  • Stay current on AML, tax, and other regulatory requirements and ensure team adherence.
  • Lead special projects and initiatives related to operational efficiency, risk management, and regulatory compliance.
  • Recommend new procedures and develop creative solutions to wide-ranging and complex issues.

Requirements

  • Minimum of 5 years of financial services regulatory experience in Transfer Agency, Investor Services, or a wire house, including some leadership or supervisory experience.
  • Experience in escheatment, tax reporting, or AML strongly preferred.
  • Familiarity with TA2000 or similar systems is a plus.
  • Proven ability to manage regulatory processes and act as a liaison between intermediaries, clients, and internal teams.
  • Strong track record of meeting government and regulatory deadlines.
  • Ability to mentor and guide a small team while maintaining hands-on involvement in key regulatory tasks.
  • Strong analytical, problem-solving, and communication skills.
  • Willingness to work on site at least 6 days per month at one of our office locations.
Benefits
  • 401k Matching Program
  • Professional Development Reimbursement
  • Flexible Personal/Vacation Time Off
  • Sick Leave
  • Paid Holidays
  • Medical
  • Dental
  • Vision
  • Employee Assistance Program
  • Parental Leave
  • Discounts on fitness clubs
  • Discounts on travel and more!
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
regulatory operationstax reportingescheatmentAML compliancecost basis analysistax form reviewretirement account complianceperformance oversightoperational efficiencyrisk management
Soft Skills
leadershipcoachingcommunicationanalytical skillsproblem-solvingcollaborationmentoringguidancecreativityprofessionalism