Transfer Agent Oversight Manager Jobs in California

Head of Transfer Agent Oversight – AmericasSkip to main content#Head of Transfer Agent Oversight – Americas page is loaded## Head of Transfer Agent Oversight – AmericasApplylocations: Newport Beach, CA USA: Austin, TXtime type: Full timeposted on: Posted Yesterdayjob requisition id: R106555PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients’ capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world’s largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns.Since 1971, our people have shaped our organization through a high-performance inclusive culture, in which we celebrate diverse thinking. We invest in our people and strive to imprint our CORE values of Collaboration, Openness, Responsibility and Excellence. We believe each of us is here to help others succeed and this has led to PIMCO being recognized as an innovator, industry thought leader and trusted advisor to our clients.# **Position Description**PIMCO is seeking an experienced leader to serve as **Head of Transfer Agent Oversight – Americas**. This role is responsible for the governance, oversight, and continuous enhancement of PIMCO's transfer agency oversight model across U.S. and Canada registered funds, ETFs, closed-end funds, interval funds, collective investment trusts, and other pooled investment products.The successful candidate will lead PIMCO's oversight of transfer agents and related service providers, ensuring high standards of operational performance, risk management, regulatory compliance, business resilience, and investor servicing. As the primary business owner for transfer agent oversight activities, this individual will work closely with fund administration, product strategy, client-facing/distribution teams, legal, compliance, risk management, technology, and external service providers to strengthen controls and enhance service quality.The role will also lead strategic initiatives related to operating model enhancements, regulatory developments, vendor management, and technology transformation, including the practical application of AI-enabled tools to improve oversight, monitoring, and decision-making.# **About You**We are seeking a highly motivated leader who thrives in a dynamic environment and demonstrates sound judgment, intellectual curiosity, and a commitment to excellence. You bring:* Exceptional leadership, organizational, and relationship management skills.* A strategic mindset combined with strong execution capabilities.* The ability to collaborate effectively across senior stakeholders and cross-functional teams.* A continuous improvement mindset and enthusiasm for leveraging technology/AI to enhance business processes and oversight practices.* Unwavering integrity, accountability, and commitment to delivering outstanding outcomes for clients and stakeholders.# # **Location**New York, NY, Newport Beach, or Austin, TX# **Responsibilities**Key responsibilities include, but are not limited to:**Transfer Agent Governance & Oversight*** Lead the transfer agent oversight team/function across the Americas, establishing strategic priorities, ensuring execution of key objectives, and driving effective resource allocation across internal teams and service providers.* Establish and maintain relationships with key executives at transfer agents and other, related service providers.* Lead vendor service review meetings; evaluate performance against contractual obligations, service-level agreements and key performance indicators; provide reporting to senior management and governance committees.* Ensure transfer agency operations comply with applicable regulatory requirements, fund policies, prospectus disclosures, and servicing standards, partnering with senior team members in legal and compliance. Assess the operational impact of regulatory developments and lead implementation efforts.* Oversee vendor due diligence, including operational, financial, technology, cybersecurity, and business continuity assessments.* Build and maintain strong partnerships across operations, product strategy, client-facing/distribution, compliance, legal, risk management, technology, finance, and portfolio management.* Collaborate with colleagues across EMEA and APAC to promote consistent oversight standards and best practices.**Operational Risk & Controls*** Oversee key transfer agency activities, including cash management, shareholder and intermediary servicing, regulatory document delivery, and related control processes across US, Canada, and LatAm operations.* Maintain monitoring programs to identify and address operational risks, service issues, control deficiencies, and emerging trends. Oversee root cause analysis and remediation efforts to address identified control weaknesses and operational risks.* Lead the escalation, investigation, and resolution of significant operational incidents and service delivery issues.* Partner with risk management, compliance, legal, and internal audit to strengthen the control environment and promote operational excellence.**Strategic Initiatives & Continuous Improvement*** Drive process improvement, automation, and operating model enhancements to improve efficiency, scalability, and service quality.* Partner with technology and operations teams to enhance data quality, reporting capabilities, workflow automation, and operational resilience.* Promote a technology-forward approach to strengthen oversight and execution* Identify industry best practices and emerging risks to continuously enhance the transfer agent oversight program.* Collaborate with product strategy, wealth management, legal and compliance teams to strategize new product ideas and their implementation with TAs and distribution partners# # # **Qualifications*** Bachelor's degree required; advanced degree and/or relevant industry certifications preferred.* Deep knowledge of transfer agency operations, shareholder servicing, intermediary distribution models, and fund operating structures.* 10+ years of experience in asset management, transfer agency, fund administration, fund operations, service provider oversight, or related disciplines.* Strong understanding of U.S. registered investment companies, ETFs, closed-end funds, interval funds, and collective investment trusts.* Demonstrated experience overseeing third-party service provider relationships and vendor governance programs.* Experience managing operational risk, driving process improvement, and initiating technology-enabled change.* Ability to exercise sound judgment, balance competing priorities, and operate effectively in a fast-paced environment.# PIMCO follows a total compensation approach when rewarding employees which includes a base salary and a discretionary bonus. Base salary is the fixed component of compensation that is determined by core job responsibilities, relevant experience, internal level, and market factors. The discretionary bonus is used to award performance and therefore is determined by company, business, team, and individual performance. Salary Range: $ 215,000.00 - $ 260,000.00Equal Employment Opportunity and Affirmative Action Statement*PIMCO recruits and hires qualified candidates without regard to race, national origin, ancestry, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), sexual orientation, gender (including gender identity and expression), age, military or veteran status, disability (physical or mental), any factor prohibited by law, and as such affirms in policy and practice to support and promote the concept of equal employment opportunity and affirmative action, in accordance with all applicable federal, state, provincial and municipal laws. The company also prohibits discrimination on other basis such as medical condition, or marital status under applicable laws.*Applicants with Disabilities*PIMCO is an Equal Employment Opportunity/Affirmative Action employer. We provide reasonable accommodation for qualified individuals with disabilities, including veterans, in job application procedures. If you have any difficulty using our online system due to a disability and you would like to request an accommodation, you may contact us at 949-720-7744 and leave a message. This is a dedicated line designed exclusively to assist job seekers with disabilities to apply online. Only messages left for this purpose will be considered. A response to your request may take up to two business days.***We believe that active management is the responsible way to invest our clients' assets in fixed income.**For 50 years, we have worked relentlessly to help millions of investors pursue their objectives - regardless of shifting market conditions. #J-18808-Ljbffr