Lee Semple

Asset Management and Transfer Agency professional with over 20 years’ experience across Transfer Agency oversight, fund operations, middle office and fund administration within regulated and outsourced environments. Extensive experience of OEIC, Unit Trust and SICAV structures, third-party oversight, operational controls, SLA/KPI governance, MI reporting, reconciliations, settlements, data quality and business process improvement. Proven ability to use operational data to identify exceptions, investigate issues, strengthen controls and improve service outcomes.

Currently completing the Google Data Analytics Professional Certificate, developing practical capabilities in SQL, Tableau and Python while building on established Microsoft Excel experience, including PivotTables and charts. Fully available and motivated to return to financial services in permanent, contract or consulting roles.

Transfer Agency Oversight & Operations Analyst at Northern Trust Corporation — Contract (2022-01 – 2022-12)

• Provided end-to-end oversight across Transfer Agency functions, supporting operational resilience and adherence to governance and control frameworks.
• Maintained and reviewed Business Continuity Plans, risk controls and governance documentation.
• Produced accurate and timely Management Information (MI) for senior stakeholders and global locations, using operational data to support oversight and decision-making.
• Conducted process and procedure reviews, identifying control gaps and implementing enhancements to improve efficiency and control effectiveness.
• Collaborated cross-functionally with Transfer Agency operations, risk and oversight teams.

Transfer Agency Oversight & Fund Operations Analyst at Ninety One Fund Managers (2007-04 – 2021-05)

• Oversaw and monitored Transfer Agents including SS&C and RBC across multiple jurisdictions, maintaining effective third-party relationships and service governance.
• Managed and reviewed Service Level Agreements (SLAs) and Key Performance Indicators (KPIs), maintaining issue logs and remediation plans and analysing performance trends.
• Reviewed and analysed fund standing data, proactively identifying and resolving data exceptions to support accuracy, integrity and effective operational controls.
• Maintained client reference data in accordance with GDPR and internal standards, supporting data governance, data quality and operational workflows.
• Acted as key liaison between Investment Operations, Fund Accounting, Custodians, Trustees, Transfer Agents and clients.
• Delivered daily and periodic MI and reporting including fund flows, cash and unit reconciliations and book reports.
• Owned investigation and resolution of settlement, reconciliation and client issues, using root-cause analysis and exception management to achieve timely closure.
• Reviewed and updated policies and procedures, supporting automation, scalability, outsourcing initiatives and business process improvement.
• Monitored operational breaches and KRIs, assessing business impact and control effectiveness.

Senior Fund Administrator – European Services (Dealing & Settlements) at International Financial Data Services (IFDS) (2001 – 2007)

• Managed shareholder dealing instructions, settlements and reconciliations across European funds.
• Responded to shareholder and client queries and assisted with fund pricing and valuation, including complex scenarios.
• Trained and supported administrators within the European Dealing & Settlements team.

Senior Transfer Agent at State Street Bank, Luxembourg — Secondment from IFDS (2005 – 2006)

• Supported the migration of ABN Amro SICAV funds from FETA to State Street’s IFAST multi-currency platform.
• Validated complex client and fund datasets during migration, using quality assurance, data validation and reconciliation processes to ensure accuracy, completeness and consistency.
• Documented and updated procedures to support training and operational continuity in the UK.
• Ensured accurate processing of shareholder dealing instructions and settlements.

Career Break (2023-01 – Present)

Planned career break for personal and family reasons. During this period, continued professional development with a particular focus on data analytics, digital tools and AI. Now fully available and highly motivated to return to financial services, combining extensive industry experience with developing analytical and digital capabilities.

Google Data Analytics Professional Certificate — In progress

Securities Institute IAQ – Introduction to Securities & Investments

OCP – Active Operations Management

Aspire – Learning to Manage (Planning, Motivation, Appraisals)

BTEC NVQ Level 3 – Supervisory Management

BTEC National Diploma (incl. A-Level Maths Equivalent)

10 GCSEs