gary sargant

transfer agent oversight manager - assistant vice president

About

An established member of the UK Funds Client Service & TA Oversight team within an industry leading global financial services firm. My passion as a leader and oversight manager is to develop the knowledge and skills of those around me and ensure internal and outsourced processes deliver the highest possible level of service to end consumers. Regular performance reviews with team members and TA's create clear understandings of expected standards, help to reduce risk in a regulated environment and build strong relationships. I have worked in the Financial Services industry for over 9 years and have continuously achieved career progression whilst completing and being awarded the CISI Level 3 Certificate in Investment Operations.

Country

united kingdom

City

london

Industry

financial services

Skill

investments, management, microsoft word, powerpoint, leadership, microsoft excel, strategy, customer service, alfresco, budgets, outlook, team leadership, relationship management, awd, fast, encorr, as400 system, microsoft outlook, frontier, edays, smart, awd contact, microsoft office powerpoint, risk online, operations management, team management, dst bluedoor, workday, crm, business analysis, financial services, asset management

Experience

transfer agent oversight manager - assistant vice president

t. rowe price

2019-7 - Present · 7 yrs 3 mos

complaints and breach oversight manager

j.p. morgan asset management

2016-8 - Present · 10 yrs 2 mos

investor service solutions team manager

international financial data services

2012-1 - 2014-9 · 2 yrs 9 mos

To manage a team of 14 associates and provide administration services to 10 external Fund Management companies. Display and represent the high standards set by Investor Service Solutions on a daily basis to all levels of management throughout the business. Oversee the completion of 50,000.00+ enquiries on a yearly basis, ensuring all quality, SLA and KPI targets are met. Attend regular operational meetings with Client Relationship Managers, Fund Management companies and other department managers/heads. Conduct associate reviews, setting smart progression plans supported by the identifying of key areas of development. Locate knowledge gaps and data trends to minimise risk in an operational environment.

investor service solutions team leader

international financial data services

2009-9 - 2012-1 · 2 yrs 5 mos

To support Team Manager with day to day management duties across Investor Service Solutions. Establish, develop and maintain excellent relationships with key business areas and other support networks. Strategic allocation of work to ensure strict deadlines are met on a daily basis.

st james's place platform services team manager

international financial data services

2014-9 - 2016-8 · 2 yrs

Managing a team of 18 associates, providing correspondence and investigative administration services to a market leading Financial Planning and Wealth Management company. Consistently delivering the high standards set by the Platforms business unit on a daily basis to all levels of management. Overseeing the migration of a complex system whilst ensuring all quality, SLA and KPI targets are met. Driving structured recruitment to ensure core skills and key individual qualities are placed in the correct areas. Attending regular operational meetings with Client Relationship Managers, Project Support and Senior/Director level management. Conduct associate reviews, setting smart progression plans supported by the identifying of key areas of development. Locate knowledge gaps and data trends to minimise risk in an operational environment, as well as conducting periodic reviews of processes and procedures.