• Processed ACATS and Non-ACATS transfer requests, ensuring end-to-end handling of client share transfers with a focus on accuracy, regulatory compliance, and timely completion. Verified all required documents, including Transfer Initiation Forms (TIFs) and Letters of Authorization, while coordinating with counterparties to resolve discrepancies and exceptions.
• Cross-trained and actively contributed to the Networking team, where responsibilities included reviewing and verifying fund-related documents received from Financial Advisors (FAs), ensuring alignment between the fund companies and BETA systems for accurate and compliant processing.
• Additionally cross-trained in the Oversight function, responsible for validating verified information and accurately updating share positions in the system. Ensured compliance with internal guidelines by checking for any BORD restrictions such as AML holds or other regulatory flags before updating records.
• Maintained strong coordination between departments, external fund companies, and internal teams, ensuring smooth operations, detailed documentation, and superior client service throughout each stage of the transfer process.
• Proactively monitored transfer pipelines, addressed exceptions, and provided regular status updates to relevant teams, ensuring an efficient, compliant, and client-focused operation.
• Built strong working relationships with Financial Advisors, counterparties, and internal teams, consistently providing clear communication and prompt resolutions to support a superior client experience