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Registry Oversight Manager

2 months ago

Sydney, Australia Bnp Paribas Full time

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.

 The Registry Services Oversight team key focus areas include:

 * 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
 * Incident management, including recording all SS&C incidents in the BNP Paribas incident management tool and monitoring through to resolution.
 * Review of SS&C Incident reports, ensuring appropriate details of issue cause, remediation & preventative measures
 * Review SS&C performance including, but not limited to, delivery against service level agreements and escalate as appropriate within BNP Paribas and SS&C.
 * Review of monthly KPI’s to clients, investors, regulatory bodies and to BNP teams
 * Assist in the resolution of escalated operational difficulties.
 * Participate in regular client meetings (some weekly, some monthly) as required.
 * Participate in regular SS&C oversight meetings.
 * Point of escalation for issues with BAU, periodic services, systems, and infrastructure, change management and transitions.
 * Review SS&C Invoices and tracking through to payment.
 * Oversee change management that impacts Registry and/or BNP Paribas registry interfaces & processes.
 * Project lead as required, including regulatory or client requested change activity
 * 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 successful candidate will be able to operate independently, make decisions and guide outcomes that are beneficial to BNP Paribas and their 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 Control
 * Apply effective monitoring/supervision over:

 * Completion of required controls
 * Escalation and logging of incidents and errors into the BNP Paribas incident management
 * register
 * Preparation of audit samples for ISAE 3402 audit processes and adhoc IG or other audits

 * The candidate should have a strong grasp of the importance of the risk control framework and experience in the application of risk controls as part of a service offering

 Sales and Promotion
 * Assist with responses to RFP and DD questionnaires relating to Registry, and/or assist with co- ordination of SS&C to provide responses
 * Monitor the new business transition pipeline with BNP Paribas business development and business implementation teams

 * 

 Technical and Behavioral Competencies required

 Technical
 * Registry or related Financial Services industry experience
 * Prior experience in working on Third Party oversight management role

 Behavioral
 * Accountability: Committed to achieving the organisation’s objectives. Demonstrates perseverance and is accountable for own actions
 * Attention to detail: Ensures accurate and detailed information is provided on each Registry client and processes. Ensures high personal standards in all areas of work.
 * Client Focus: Complete commitment to provide professional, intelligent and timely responses to internal and external clients’ needs and to changes
 * Collaboration and team work: Develops and maintains a good working relationship with others. Provide support to other team members and seeks the same from others.
 * Communication: Write, speak and present information effectively, relevantly and in a timely and respectful fashion
 * Individual Leadership: Uses an appropriate interpersonal style to inspire and guide colleagues towards goal achievement. Adjusts behaviour to accommodate tasks, situations and individuals
 * Innovation: Propose and assist with implementing original ideas, approaches and solutions to typical, unusual or difficult situations or problems
 * Pro Active: Must be able to identify needs and be willing to assist in meeting that need even if it falls outside the word specific area of their job description. A team player who realizes the importance of delivering the business solution and is willing to assist with this
 * Problem solving: gathers and analyses information and uses it to develop effective solutions to difficult problems or situations
 * Team Orientation: Works with the team and the broader organisation towards shared goals and treats all colleagues and clients as partners
 * Negotiation & conflict resolution: Negotiates or mediates sound agreements in situations where there is disagreement or differences in interests
 * Planning & Execution: Establishes courses of action for self and others to ensure work is completed efficiently.  Effectively manages own time and resources to meet deadlines and quality standards
 * Responsiveness:  Adapts when facing new or unforeseen situations.  Delivers on time the required service.
 * Strategic thinking: Understands the business, and anticipates business needs, reflecting this in the approach to current solutions

 Experience and Qualifications required
 * A proven history of successful Relationship or Vendor Management experience
 * 5+ years Registry or related Financial Services industry experience
 * A good understanding of how Registry impacts Investment Admin teams, Fund Managers, Investment Managers, Investors and third parties (such as the Australian Tax Office)
 * Demonstrable experience with issue resolution and incident management
 * Awareness of how and when to escalate complex issues - and the ability to maintain a questioning attitude and a continual improvement mindset
 * The ability to deal with all levels of seniority, from junior officer level staff through to executives and Managing Directors

 Desirable:
 * An understanding of the Fund Administration area would be beneficial
 * Prior experience in working with an external service provider
 * Experience in Client Service or Relationship management would be highly regarded
 * Degree qualified in Business, Accounting or related discipline; or comprehensive relevant work experience in a similar role

 About BNP PARIBAS

 As the leading European Union bank, and one of the world’s largest financial institutions with an uninterrupted presence in the region since 1860, BNP Paribas offers a wide range of financial services for corporate, institutional and private investors spanning corporate and institutional banking, wealth management, asset management and insurance.

 We passionately embrace diversity and are committed to fostering an inclusive workplace where all employees are valued and encourage applicants of all backgrounds, including diversity of origin, age, gender, sexual orientation, gender identity, religion applicants who may be living with a disability. We have a number of internal employee networks in place to empower our staff to act and challenge the status quo.

 BNP Paribas PRIDE is highly active in favour of the LGBTQIA+ community

 BNP Paribas MixCity which fosters better representation of women at all levels of the organization

 Ability, the mutual aid network for employees with a disability or a disabling or chronic illness

 BNP Paribas CulturAll which celebrates diverse backgrounds

 BNP is committed to financing a carbon-neutral economy by 2050. The Group is a founding member of the Net-Zero Banking Alliance and has set up its own Low Carbon Transition Group to support its clients through their energy transitions.