| Job description |
| Job description: |
The Senior Specialist is responsible for overseeing the daily operations of the Harbor Transfer Agency and Risk Control functions as it relates to the Harbor Funds.
Responsibilities include:
The development and implementation of long-range planning to improve overall service delivery, maintaining quality and productivity standards for the area and improving operating procedures and policies. This position will ensure that all daily, monthly, and quarterly tasks are being performed as required. Additionally, the incumbent acts as liaison with other company departments, clients, and vendors.
- Coordinate annual transfer agency systems internal control audit with internal audit
- Coordinate annual transfer agency Internal Controls Audit by outside auditors
- Coordinate and assist group leads with internal audits performed by Harbor Capital's internal auditor
- Assist with annual AML audit preparation
- Coordinate, review and update of High Level Transfer Agency Policies and Procedures Manual
- Coordinate, review and update of HSG's Legal Manual
- Coordinate, review, update, and approve HSG’s processes as they relate to shareholder risk and compliance
- Work with team members to create workflows
- Identify and research suspicious persons/shareholders and their activities/transactions
- Report/provide documentation to AMLCO suspicious persons/items
- Support internal and external legal counsel as needed on suspicious persons/items
- Prepare Suspicious Activity Reports (SAR's) as directed by AMLCO
- Review weekly and monthly reports
- Review and research large trade notifications, transaction downloads, and other reports for violations
- Report violations to management
- Follow management instructions and procedures for contacting, placing on watch list, or banning shareholders
- Prepare monthly market-timing reports for the executive team review and approval.
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| Req. candidate profile : |
Requirements
- Series 6 Registration Certification, or Series 7
- Mutual Fund and or Transfer Agency experience required, supervisory experience strongly preferred
- Certified Anti-Money Laundering Specialist (CAMS) Certification helpful, 4 year degree preferred.
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| How to apply : |
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| Third party mediation allowed : |
No |
| Telecommute : |
No |
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