To undertake and oversee all elements of asset transfer processing. This involves transfers of Stocks and Shares ISAs, Cash ISAs, certificated stock transfers and non-ISA portfolio transfers (both in and out) on both a cash and an in-specie basis.
RESPONSIBILITIES
Management Responsibilities
- Providing leadership and direction to the Transfers Team, managing the team members on a day to day basis, ensuring performance measurement, development and training plans are in place
- Ensuring day to day operational procedures are efficient, comprehensive and fit for purpose, together with being adequately documented, communicated and adhered to.
- Effectively managing operating risk through a robust set of controls and escalation procedures. Working with all parties in response to operating events to strengthen controls.
- To identify, initiate and oversee projects to improve our service capabilities and operational effectiveness
General
- To undertake and oversee all administrative processes surrounding transfers across all product and portfolio types.
- To undertake and oversee direct liaison with 3rd parties both in terms of documentation forwarding and query/issue resolution.
- To oversee the checking of all transfer documents to ensure they are completed properly and meet internal and regulatory requirements.
- To check/process and oversee all business accurately and on a timely basis and to ensure that all targets and internal service levels are met.
- Act as a central point to resolve escalated issues.
- Ongoing maintenance of static data within Equisoft system.
- Active participation within the TeX community.
- To ensure close liaison with other internal departments, to ensure all business processes run smoothly and effectively.
- To support the collation of departmental statistics on a daily and monthly basis, where appropriate.
- Active involvement in reviewing processes, procedures and controls on an ongoing basis to ensure all processes are as efficient (and risk controlled) as possible.
- Review current processes within the operations teams. Identify and implement process improvements.
- Detailed involvement in project work to develop the workings of the department.
- Co-ordinate and support new business initiatives representing the Operations Department.
- To inform Line Manager of areas of concern and issues that may arise.
WE WOULD LOVE TO HEAR FROM YOU / PLEASE APPLY IF:
- Previous supervisor experience and experience of operational processes in wealth manager or private client asset management
- An ability to manage, coach and develop people effectively.
- Able to challenge current processes within the team and provide solutions and efficiencies.
- Accuracy and attention to detail
- Able to build effective relationships with 3rd parties and internal customers such as the fund managers
- Flexibility and availability to work overtime during peak workload periods.
- Excellent communication skills (verbal and written).
- Team player willing to respond to varied requests
- Good all round securities knowledge
- Understanding of the Crest GUI and Equisoft system