Transfer agent: operations and support teams

Over the past years, the landscape of the investment fund industry has been reshaping itself, adapting to the evolving needs and expectations of investors and distributors. Along with that shift have come changes in the way the transfer agents operate, organise, manage risk, implement regulations and interact with other stakeholders of the investment funds value chain.

This training is a continuation of the "Transfer agent: processes, risks and controls - Part 1" module as it will focus more specifically on the remaining three out of the five activities related to transaction management: transaction input and processing, transaction reporting and cash reconciliation and settlement.
It will also describe the main processes related to fund events, shareholder services and fund distribution.
Lastly, you will be provided with a view on the main operational risks you might face while performing transfer agency activities.

By the end of this session, the participants will be able to understand in detail the role, responsibilities and tasks of each TA department from operational to support functions. The participants will also be guided through the process workflow of the main TA.

• Review of the TA 6 main process workflows
• Document reception and management
• Account registration and maintenance
• Transaction input and processing
• Reporting
• Cash reconciliation and settlement
• Fund events
• Relationship management
• Transversal functions
• TA support teams

This training is coordinated by Alexis Bouly and Katarzyna Pyrka, Directors at PwC Luxembourg.

Alexis is a director within PwC Luxembourg and has 15 years of experience in the fund industry.

He started his career in the audit of investment funds and has been involved in large scales advisory projects related to investment funds such as fund accounting, transfer agents, fund platform migrations and outsourcing implementations across the globe.

Katarzyna is a director within the Advisory practice of PwC Luxembourg with over 15 years of experience in the financial industry.

She focuses on the financial services sector and advises on regulatory and business matters. Since she joined PwC Luxembourg, she is supporting major international banks and investment firms specialised in asset management for funds, custody and transfer agency services.