Job Description

Account Onboarding and Transitions, Associate – Investment Management Operations


Company Profile

Clients is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.

As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Clients can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives, and needs is an important part of our culture.

Operations is one of the largest divisions in the firm and has diverse responsibilities, including correctly settling and recording millions of transactions per day, identifying and mitigating all operational risks, developing strong client relationships and partnering with technology to realize the full potential of IT and e-solutions. Throughout, the Operations department continually seeks ways to improve while actively supporting the development of new businesses, structures and markets.

Background on the Team

Clients Investment Management (IM) is a critical business within Clients and is a leader in the global investment management business. IM Operations supports the equity, fixed income, multi-asset, liquidity and alternative businesses for IM, providing middle-office services including portfolio manager support, client services, portfolio transition management, market registration, product data and valuation oversight, and performance and attribution analysis, among others. IM Operations serves the firm's portfolio managers and associated teams by providing high quality support through excellence in processing, reporting, and management of strategic initiatives.


The Onboarding and Transitions Team plays an integral role in servicing clients and coordinating client and pooled vehicle events including, on-boarding of new business, account transitions and terminations. The team also facilitates the onboarding of derivative products where applicable.  The team works closely with IM business stakeholders, outsourced vendors including the Investment Manager Solutions (IMS) team, counterparties and other external parties to ensure completion on all deliverables.


Clients's Investment Management's product range is continually evolving into new product and strategy areas, demanding ever changing infrastructure and solutions. The Onboarding and Transitions Team facilitates discussions with all impacted parties to ensure that the appropriate support models are in place.


Primary Responsibilities

  • Provide on-going support to the global Onboarding and Transitions team to help facilitate client and pooled vehicle events including onboarding, termination, custody transfer, in-specie transfer and other related transition activities
  • Obtain sign off from internal and external parties prior to funding, transition and termination of assigned accounts
  • Co-ordinate with custodians, client relationship managers and investment team to ensure timely completion of market opening and compilation of stakeholder updates
  • Respond to counterparty KYC (Know Your Client) requests related to periodic broker requirements and onboarding accounts for trading foreign currency and derivative products
  • Coordinate and maintain Legal Entity Identifiers (LEIs) by working with internal teams to gather proper documentation and processing on external vendor sites
  • Coordinate pooled vehicle share class launches
  • Set-up core accounts and sleeves on trading systems and other internal/external platforms
  • Ensure global workflow tools are updated in a timely manner
  • Track documentation related to global onboarding events (PPM, LPA, IMA, tax forms, formation documentation, etc.) and derivative product onboarding events (ISDAs, MSFTAs, futures agreements, repurchase agreements, etc,)
  • Gather appropriate documentation for SSAE18 and other audits
  • Other duties related to the support of the global Account Onboarding and Transitions Team


Skills Required

  • A sound understanding of investment operations including mutual funds, preferably with a focus on client service and onboarding
  • Strong attention to detail
  • Excellent organizational and project management skills
  • Strong verbal and written communication skills
  • Ability to interact with multiple internal and external parties including clients, client relationship managers, legal, compliance, investment teams, sales, and other functional operations teams
  • Ability to manage various tasks at once and work with several members of the team simultaneously
  • Ability to work effectively with minimal supervision



  • Bachelor's Degree (Business degree preferred) and a minimum of 5-7 years of experience in financial services operations
  • Minimum of 3 years of experience working in an investment management context