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CareerZone Limited

Transfer Agency Due Diligence

CareerZone Limited

  • Kildare / Laois / Dublin
  • 55000 - 65000
  • Permanent full-time
  • Updated 06/10/2017
  • Aiden
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My Client a a global financial services provider are hiring a due diligence expert.


The Position

The Associate Network Manager is required to support the Network Manager in the implementation of the subcustodian, prime broker and transfer agent due diligence and monitoring program to ensure all due skill, care and diligence is exercised when safekeeping functions are delegated to a third party.


  • Assist in the performance of annual on-site inspections of each appointed third party and the preparation of a risk assessment of the reviewed firm.
  • Assess due diligence questionnaire responses provided by appointed third party firms to whom safekeeping of assets may be or have been delegated.
  • Maintain an appropriate control environment to ensure the Depositary fulfils all regulatory obligations associated with the delegation requirements of local regulations.
  • Assess the third party’s financial strength, operational and technological capabilities, regulatory and legal framework within which the third party operates and any functions sub-delegated to other parties.
  • Assist in the review of the custody risks and segregation criteria associated with the decision to entrust assets to a third party.
  • Monitor the ongoing risk associated with each appointed delegate and assist in the implementation of a contingency strategy as required.
  • Assist in the preparation and maintenance of departmental procedures and controls to ensure a high level of investor protection.
  • Liaise with appointed delegates to address and resolve any queries and escalate any concerns/issues.
  • Prepare and maintain monthly MIS on assets held by each third party delegate and transfer agent.
  • Promote awareness of and ensure adherence to all policies and procedures.
  • Keep up-to-date with related business, technical and regulatory developments

Competencies and skills

  • Excellent Communicator
  • Interpersonal Effectiveness
  • Innovative/Collaborator
  • Problem Solving/Analysis
  • Adaptability 

Qualification & Experience

  • A minimum of 5 years’ fund services experience within the European funds industry
  • A third level business/finance qualification
  • Depositary, prime brokerage and/or global custody services experience.

Ref: ANM10Ce
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CareerZone Limited

CareerZone Limited


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