Supporting the Asset Servicing & Regulatory Reporting Manager, you will play a key role in the day-to-day functioning of the team to maintain departmental and regulatory standards, contributing to the Mission and Vision of the firm.You will coach and support the training, monitoring, and development of team members.
Embrace our values and encourage colleagues to provide the highest quality service for our clients, while contributing to the Mission and Vision of the firm.
What you will doOversee daily workloads across the department, ensuring all task are completed to the required standards, particularly daily Transaction Reporting requirements and regulatory returns to HMRC/IRS.
Maintain and enhance ISA and Pension regulations knowledge within the team.Develop, manage, and update internal spreadsheets to track work in progress, producing month-end reports.
Review and validate the work, emails, and instructions of other team members as needed.
Analyse complex documentation to extract and distribute relevant information to internal and external stakeholders as needed.Support the end-to-end processes of the employee lifecycle with Recruitment & Selection, Onboarding, Performance (appraisals, performance reviews and succession planning), Recognition, and Off-Boarding.Collaborate with the team and wider operations departments to identify opportunities to streamline existing processes and improve working practices.Support individuals within the team to achieve their personal and business objectives.What we're looking forHolds the L3 CISI Investment Operations Certificate (or equivalent) or actively working towards it.Experience of working within the back office of a stockbroking firm, or a similar financial organisation.
Previous experience of assisting with managing or supervising a team, and coaching.Knowledge of Regulatory Reporting framework and ISA & Pensions processes, along with knowledge of how financial markets operate.
Awareness of risk and the importance of attention to detail.Excellent communication and influencing skills.Ability to adapt and use own initiative.
Knowledge of Microsoft Office applications (Intermediate level, especially Excel).