Registry Oversight Manager

Position Purpose

Registry Oversight is responsible for overseeing the Registry service provided by SS&C. The team sits within the Client Delivery division and is responsible for supporting, and developing activities, practices and opportunities that will expand the Registry services provided to our existing and new clients.

SS&C is a provider of registry and member administration services across managed funds, investment platforms, SMSF and superannuation funds. They provide registry services to several BNP Paribas clients, under a sub-contract arrangement, where BNP Paribas contracts for the services directly with the Client.x

The Registry Services Oversight team key focus areas include:
1. Ensuring relevant contracts, SLA’s, rate cards are in place with SS&C - and management of the periodic review of the SLA and Business Rules

2. Incident management, including recording all SS&C incidents in the BNP Paribas incident management tool and monitoring through to resolution.

3. Review of SS&C Incident reports, ensuring appropriate details of issue cause, remediation & preventative measures

4. Review SS&C performance including, but not limited to, delivery against service level agreements and escalate as appropriate within BNP Paribas and SS&C.

5. Review of monthly KPI’s to clients, investors, regulatory bodies and to BNP teams

6. Assist in the resolution of escalated operational difficulties.

7. Participate in regular client meetings (some weekly, some monthly) as required.

8. Participate in regular SS&C oversight meetings.

9. Point of escalation for issues with BAU, periodic services, systems, and infrastructure, change management and transitions.

10. Review SS&C Invoices and tracking through to payment.

11. Oversee change management that impacts Registry and/or BNP Paribas registry interfaces & processes.

12. Project lead as required, including regulatory or client requested change activity

13. Other activities include:

- Quarterly review of Compliance Certificates and SLA attestations from SS&C
- Reconciliation report to be reviewed weekly
- Quarterly review of SS&C staff access to BNP Paribas registry client data, Client access to
- SS&C Web Portal, BNP staff access to TA and 3rd party access to SS&C Web Portal
- Annual review of ASAE3402 report from SS&C
- Participate and or co-ordinate due diligence including annual BNP Paribas DD and client DDs

**Responsibilities**:
Summary of the Role

The Registry Oversight Relationship Management role encompasses a wide range of requirements, including detailed operational aspects (dealing with operations staff at SS&C and internally at BNP Paribas), as well as the very high level aspects, including dealing with senior managers and executives of our service providers. The role will require regular contact with Client Service Managers and with clients.

The Role Key Responsibilities

Client Liaison
- Provide escalation point for Registry related client service queries directed to BNP Paribas
- Oversee SS&C KPI’s and KRI’s and incorporate into BNP Paribas periodic service reporting
- Review of SS&C Business Rules at take-on and for incremental changes

Service Management
- Point of escalation for SS&C service issues - registry processing, call centre, IT infrastructure. The
- Operations Service Delivery Analyst will work with stakeholders to manage and resolve issues
- Incident management - facilitate client incident reporting process including the reporting of incidents in the BNP Paribas incident monitoring systems
- Monitoring and reporting of KPI’s & KRI’s
- Management of implementation of new and amended services
- Participate in service management governance forums
- Act as a Registry Subject Matter Expert (SME) to guide BNP Paribas departments on registry related matters, and communicate BNP Paribas requirements to SS&C as necessary

Vendor Management
- Assist with finalising service level agreements and rate cards, ensuring these are in place prior to commencement of services
- Monitor SS&C service and project invoices for accuracy; query and resolve where appropriate and facilitate payments through BNP Finance
- Assist with the annual due diligence process ensuring SS&C have the appropriate governance frameworks and controls
- Monitor all inputs of SS&C into the relevant BPSS compliance programs (client compliance certification, ISAE3402, FATCA, AML/CTF)
- Ensure SS&C and BNP Paribas DRP and BCP models are tested successfully

Product management
- Assist the SS&C RM & Oversight Manager to support the BNP Paribas Product and Client Services teams in regards to:

- Management of any changes with the SS&C services agreement
- Development and management of new services and service requests respectively with SS&C
- Development and maintenance of standard service level agreements for BNP Paribas clients
- Identify and negotiate the development of requirements for new services based on market developments, innovations and regulatory changes

Risk and