Back to search
Operations Analyst - Transfer Agency Operations (phone number removed)
Location: London (Hybrid)
Duration: 6 months
Our well renowned banking client is currently on the market for an Operations Analyst, the role is a hybrid role (3 days in 2 days from home). The position is a 6-month contract with the potential to extend.
The successful candidate will be required to attain a good understanding of the daily operations across all functions (Registration, Dealing, Box, Settlements, Distributions /Tech), gaining a breadth of knowledge to support the functional teams in India and to provide a first-class service to our clients. Being an SME within Registration would be an advantage.
The key responsibilities of the role include:
* Act as a point of contact for client and investor queries
* Supporting the India processing teams with any BAU challenges
* Ensure that current policies and procedures are in place and are being followed within the onshore and offshore teams
* Collaborate with internal teams such as New Business, Change management and relationship teams
* To work with the team, internal departments and group projects area on any allocated projects.
* Train and support partners where required across locations
* Understand and communicate new and existing regulatory, changes and client requirements
* Carries out complex activities with significant financial, client, and/or internal business impact
* Support and check Internal/Client Audit and client visits
* Comply with the regulatory regime in which the bank and Transfer Agency operates as appropriate to the above role.
* Exercise due care and diligence, ensuring the areas the incumbent is responsible for are organised and controlled.
Key responsibilities
- To champion the oversight model and growth of London as Oversight location and the benefits of the Oversight team, actively participate in the development and success of the team.
- To work with the team, internal departments and group projects area on any allocated projects.
- Work with the team to ensure oversight is evidenced of offshore locations, take part in annual DD reviews and SLD reviews where required.
- Take responsibility to Identity and undertake own training to ensure you can keep up with processes and controls and train and support partners where required
- Regularly review the operating effectiveness of key processes/functions/controls within Transfer Agency, specifically where relating to the protection of client money and custody assets, and suggest enhancements.
- Build and maintain strong relationships with Business', CASS office, Compliance, Audit functions and other key partners including onshore and offshore teams
- Compile and produce MI representing the monthly outcomes of teams Oversight sampling, ensure this can be produced and continuously improved dependant on outcomes of testing to ensure MI reflects trends and outcomes that need to be highlighted or escalated
- Ensure appropriate records are retained to evidence the oversight methodology used for sample selection
- Complete regular oversight review checks and ensure controls outlined are working as expected to prevent errors
- Identify any key trends from the work you and the team are undertaking
- Ensure any proposed preventative actions are put into practice and are working as expected
- Ensuring compliance with all applicable regulations (e.g. AML + CASS), UKTA are operating in line with internal Polices, Standards and Risk Appetite and are Complying with the regulatory regime in which Northern Trust and Transfer Agency operates as appropriate to the above role.
- Fulfil additional, relevant tasks appropriate to the role and business requirements
Skills/Qualifications
- Demonstrate a detailed understanding of end to end Operational processes in Registration, Dealing, Box, Settlements, Distributions /Tech teams
- Strong excel/powerpoint skills to prepare and innovate MI and teams trackers
- Proven strong communication skills and ability to present to a variety of audiences
- Demonstrate a good understanding of UK Transfer Agency functions, roles & responsibilities
- Demonstrate a good understanding of the CASS regulations and knowledge and understanding of FCA / HMRC regulatory Environment
- IAQ Merit award or working towards this qualification
- General OEIC/ISA/ACS/PAIF Admin experience desirable and Extensive knowledge of collective investment scheme administration
- Prior experience in audit / assurance (highly beneficial)
- Strong organisation skills in order to support the due diligence methodology.
- Ability to review and resolve complex issues working under pressure meeting challenging deadlines
- Excellent planning and organisation skills with a flexible approach to work
- Ability to work on own initiative and multi task
- Ability to work to strict set deadlines
- Attention to detail and strong accuracy
- Analytical skills are required to research and resolve enquiries
- Good communication skills
- Customer Service experience
What's next? If you feel you have the skills and experience and want to hear more about this role hit 'apply now' to declare your interest in this opportunity with our client. Your application will be observed by our dedicated team.
We will respond to all successful applicants ASAP, however, please be advised that we will always look to contact you further from this time should we need further applicants or if other opportunities arise relevant to your skillset.
Pontoon is an employment consultancy. We put expertise, energy, and enthusiasm into improving everyone's chance of being part of the workplace. We respect and appreciate people of all ethnicities, generations, religious beliefs, sexual orientations, gender identities, and more. We do this by showcasing their talents, skills, and unique experience in an inclusive environment that helps them.
