Key Responsibilities of the incumbent:

  • Operational responsibility for security management within client portfolios
  • Cash management of nominee and firm money
  • Daily reconciliations of stock, cash and trading activity between external custody and internal settlement book of records (CASS)
  • Ensure all trades are created accurately and executed timely
  • Monitoring and reporting best execution including transaction reporting
  • Trade confirmation and settlement via Crest
  • Processing corporate action events and dividend claims
  • Following the company policy for monitoring for market abuse and suspicious transaction activity
  • Ensure all regulatory deadlines, reporting and annual audit requirements are met
  • Co-ordination and timely delivery of management information required by the firm
  • Contributing to projects related to creating an efficient, responsive and process driven team
  • Report any trade errors and operational incidents in line with internal audit/risk and compliance requirements
  • Frequent interaction with Investment Manager and Developers to support the overall function of the investment platform technology
  • Interact with third party providers and raise service tickets as required
  • Reporting into the Head of Operations

Education and Experience

  • 2-3 years working in relevant industry operational roles
  • Has obtained or is working towards IAQ or IMC qualifications
  • Preferably educated to degree level
  • An understanding of regulatory implications on Retail Clients
  • Good knowledge and experience of core operational processes (Corporate Actions, Reconciliations, Payments, Trade Support, Fees, Management Information, Transfers)
  • Advanced knowledge of MS Office including Word and Excel
  • Strong attention to detail and accuracy
  • Excellent communication skills, written and oral
  • Ability to use initiative and work independently
  • Procedure and controls mindset and identify improvements to processes