Client Operations Lead Analyst

Date: Sep 23, 2022

Location: Sydney, AU

Company: Capital Group

Req ID: 54927 

Location: Sydney

Other location(s):  


“I can be myself at work.”


You define yourself by more than just a job title, and we want you to feel comfortable bringing your true self to work. We value your talents, your traditions and your take on the world  ̶  everything that makes you unique. We’re working hard to advance diversity, equity and inclusion in our organization and our communities because we know that what makes us different makes us better.


We want you to feel a strong sense of belonging. We value and welcome your experiences, ideas and identity. Over 40 employee resource groups unite our people and help to develop our collective empathy through unfiltered conversations about race, ethnicity, gender, gender identity, sexual orientation, faith, disabilities, mental health and so much more.


“I can influence my income.”


You want to feel recognized at work. Your performance will be reviewed annually, and your compensation will be designed to motivate and reward the value that you provide. You’ll receive a competitive salary, bonuses and benefits. Your company-funded retirement contribution will be the equivalent of 15% of your annual pay (including bonuses).


“I can lead a full life.”


You bring unique goals and interests to your job and your life. Whether you’re raising a family, you’re passionate about where you volunteer, or you want to explore different career paths, we’ll give you the resources that can set you up for success.

  • Enjoy generous time-away and health benefits from day one, with the opportunity for flexible work options
  • Receive 2-for-1 matching gifts for your charitable contributions and the opportunity to secure annual grants for the organizations you love
  • Access on-demand professional development resources that allow you to hone existing skills and learn new ones


Role Summary:


The Client Operations team has associates based in Geneva, London and Singapore and is responsible for supporting the operational aspects of pooled and separate account investors across Europe and Asia as well as overseeing the outsourced transfer agency function for our Australia, Luxembourg and UK fund ranges.  The lead analyst in Sydney will be focused mainly on our Australia domiciled funds, working independently to provide superior service to investors and advisors directly, or indirectly, through oversight of unit registry or support to Sales and Client Relations. As our institutional business grow in ANZ, there is also opportunity to coordinate separate account activities.


Primary responsibilities:


  • Assists with investor queries and work closely with unit registry to ensure issues are resolved in a timely manner, taking into consideration a seamless investor experience
    • Investors including advised investors, their advisors, direct investors and platforms may reach out to CG directly via phone or email rather than go through our unit registry.  The unit registry may also escalate investor queries to CG for approval and/or follow up.
    • Proactively captures and seeks out information in order to gain a better understanding of client context and perspective.
    • Builds a strong and collaborative working relationship with our unit registry, and seek to understand their processes and constraints around account opening, applications/redemptions, maintenance, distributions and financial year-end activities.
    • Liaises and collaborates with CG teams in Asia & Europe including Legal & Compliance, Fund Platform colleagues, Sales and Client Relations to resolve investor issues
    • Considers relevant regulatory requirements and data protection.


  • Builds a strong understanding of the investor lifecycle and the unit registry processes; designs and implements business procedures to support a risk-based environment within an effective governance framework
    • Be a SME who understands the role and responsibilities for the unit registry, and is familiar with the agreements, SLDs, and also the role of CG responsible entity and the regulatory expectations. To be able to connect the dots as well as articulate processes and their rationale to internal stakeholders.
    • Stay in touch with industry peers, investors and local networks to understand industry trends, best practices, to propose improvements to the control environment both within the team and with broader stakeholders.


  • Oversight of the unit registry service delivery for investor dealing and contact centre activities
    • Assess exceptions and issues and where appropriate, troubleshoots them with the distributors or escalates appropriately to find resolution, taking account of materiality, complexity and risk factors.
    • Monitors and shares information regarding quality of service delivery by external service providers by providing feedback in team discussions and with managers, and where relevant, contributes to formulating service expectations. Review of the monthly KPI scorecards.
    • Reviews and analyses daily dealing in order to detect any large or unusual transactions, and promptly escalates as appropriate.
    • Independently performs analysis for investor accounts / transactions to identify any possible issues with regards to product or operational features and assesses business risk (including those pertaining to regulatory requirements), and recommends a course of action. This includes review of the monthly registry.


  • Distributor onboarding and oversight
    • Coordinates distributor on-boarding and rebates payment, including the drafting and negotiation of agreements by working closely with Legal & Compliance and Sales team
    • Partners with the client during the lifecycle of the account especially on the relevant operational considerations, and troubleshoots any issues with all relevant parties.
    • Oversees the (outsourced) process of the calculation of distribution rebates paid out by working closely with Fees team and unit registry
    • Leads the quarterly Design & Distribution Obligations (“DDO”) review and report of any transactions outside of target market.


  • Participates actively as a subject matter expert in wider projects, or lead team projects
    • Initiatives including digital enhancements and share class rationalization
    • Funds Platform, regulatory or business projects where assigned to act as SME
    • Trainings and exposure sessions provided to other departments / internal clients.


  • Contributes to the quality of team processes and business acumen
    • Identifies and discusses any perceived gap(s) in operations/business processes.
    • Recommends improvements relative to risk and/or efficiency.
    • Monitors & updates internal procedures, and identifies areas for documentation improvement.


  • Performs additional responsibilities as assigned
    • AML/KYC - The team may take on responsibilities for AML/KYC validation where escalated by unit registry for investor account opening, as well as regular checks and schedule investor remediation.


Business & Technical Skills:


  • Consistently demonstrates effective written and oral communication skills with a diverse group of associates including external parties and senior business leaders.
  • Demonstrates and develops in-depth knowledge of the AU managed funds industry, investor services, applicable regulation, industry guidelines and practices, trends, and technology. Demonstrates ability to apply those to work assignments.
  • Consistently demonstrates the ability to evaluate and appropriately address data confidentiality & security concerns when dealing with associates beyond Client Operations & more broadly.
  • Demonstrates effectiveness in being a Client Operations subject matter expert and an active participant in a variety of meetings and settings.
  • Demonstrates ability to effectively collaborate with others to meet shared objectives, and develops relationships within the team, other internal teams generally and with external parties including service providers.
  • Is attentive to detail and in particular when providing information about CG funds’, policies and services to investors or their representatives.
  • Demonstrates in-depth knowledge of investor servicing and related processes, including but not limited to CG AU funds’ PDSes and Information Incorporated by Reference (IIR), specific regulatory (including AU DDO, RG97) and general CG best practice guidelines, including other CG teams’ organization, concerns and priorities.
  • Consistently demonstrates effective and professional service orientation, and in particular the ability & drive to effectively prioritize and balance different interests or perspectives (e.g. specific client considerations versus standard procedures) in elaborating solutions.




  • Ensures Accountability – Holds self and others accountable to meet commitments
  • Manages Complexity – Makes sense of complex, high quantity and sometimes contradictory information to effectively solve problem.
  • Customer Focus – Building strong customer relationships and delivering customer-centric solutions.
  • Interpersonal Savvy – Relates openly and comfortably with diverse groups of people.
  • Drives Results – Consistently achieving results, even under touch circumstances.
  • Values Differences – Recognizes the value that different perspectives and cultures bring to an organization.
  • Demonstrates Self Awareness – Uses a combination of feedback and reflection to gain productive insight into personal strengths and weaknesses.
  • Situational Adaptability – Adapts approach and demeanor in real time to match the shifting demands of different situations.


Working Conditions:


  • N/A — this role doesn’t require any environmental conditions inherent to the job that would be considered outside of a normal office environment.


Company: CIInc-SYO (330)
Covered/Personal Securities: No
Restricted: No

Job Segment: Outside Sales, Sales