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Dealing Senior Manager

Please Note: The application deadline for this job has now passed.

Job Introduction

To lead a team of Managers responsible for overseeing the completion of dealing transactions, servicing all full service management companies. This must be done in line with Service Level Agreements (SLAs) and Key Performance Indicators (KPIs).

Working with a wider management team to achieve department goals and objectives as specified by line manager. This requires excellent collaboration and fluidity of knowledge and responsibilities across the senior management team.

Role Responsibility

• Operational oversight of Dealing Service functions - To include dealing processing and Investment Trust processing.

 

• Operational and Risk Management - Manage and oversee the Operational Dealing Services Team formulating short and medium term strategic plans.  Ensure that the Resilience workbooks, the Business Risk Register and the BCP plans are updated regularly and attend the Risk Co-Ordinators Forum.

 

• Service Delivery  -  Ensuring SS&C meets client expectation in line with Service Level Agreements (SLA) and Key Performance Indicators (KPI)

 

• Develop and Improve Communication - Work closely with Client Relationship Teams, India Dealing Team and all relevant areas within SS&C to ensure we operationally meet business requirements. 

 

• Succession planning - Facilitates succession plans for direct reports and oversees plans for operational team.

 

• Process Ownership - Ensure processes and procedures are appropriately controlled, monitored and documented.

 

• Staff Reviews, Training & Development - Ensure regular documented reviews of individual performance, including monthly staff 1:1 meetings take place. Where appropriate monitor Team & Individual progress in respect of quality and productivity and identify Learning and Development needs for direct reports.

 

• Client relations - Will confidently meet with clients and put forward solutions to existing issues, engaging them with ideas for moving repeat problems forward.  Maintain an open and honest relationship with your clients, attending MSR’s and owning client visits.

 

• Budgetary Control - Assist with managing the department budget & forecasts. 

 

• Accountable for ensuring that direct reports are aware of how their individual objectives link to Corporate Goals

 

• Customer focus - Maximizes business opportunities through building & developing positive customer and business relationships

 

• Leadership - Works to ensure a cohesive leadership team, and deputises for Head of Department as and when required

 

• AOM – Promote Workforce management methodology across Dealing Services. Attend Loading/Variance meetings across UK and offshore teams and oversee resource to meet SLA/KPIs.  Take part in the AOM champion meetings when required.

 

• CASS – Ensure all team members are up to date with CASS modules. Support the CASS SME’s with any governance and audit requests.

 

• Communicate with offshore counterparts – Maintain communication with offshore counterparts and liaise daily to ensure all deadlines are being met.  Ensure regular meetings are attended by both UK and India Senior Managers to discuss successes and challenges to maintain oversight.  Meeting agenda and minutes to be documented.

 

• Oversight of compliance sampling – Oversee compliance samples and ensure they are completed by the given deadline.

 

• Departmental Meetings – Ensure departmental meetings occur on a regular basis, have a clear agenda and ensure minutes are circulated to the team.

 

• Escalated Queries – Act as a senior referral point for other business areas and Management Companies, setting expectations with key stakeholders.

 

• Incident Summary and Preventatives – Provide preventative actions including CASS preventatives to the breach team.  Provide Incident Reports and SOE’s for relevant meetings and Management Companies.

 

• Quality & Training – Attend Dealing RCA meeting and agree actions to be taken for quality improvements across the teams.  Meet with the training academy fortnightly to agree training requirements for the teams.

 

• MI Commentary – Provide commentary on a monthly basis for the RCA pack, CASS MI pack, the Funds Governance pack and the Board Reports

 

• Compliance Monitoring Reviews – Attend the opening session and ensure that business responses are sent by the deadlines provided.  Attend the closing meeting and ensure that any outstanding recommendations are completed by the deadline provided.

 

• Regulatory Change & Projects – Ensure that Regulatory change is delivered to the department by supporting the Technical team with any project deliverables, training, meetings and procedure updates.

 

• Skills Licensing – Ensure that there is sufficient cover for all processes across all streams.  Own and update the skills licensing tool for all staff and ensure that the license material is reviewed on a regular basis.

 

• Incident Management – Ensure that there is presence on any HPI calls and liaise with India to ascertain what the impacts are to both locations and the UK.  Ensure regular updates are provided to the dealing floor.

 

• Additional Responsibilities – Complete any other appropriate ad hoc tasks as directed by your manager.

 

• To carry out any other duties which are within the employee's skills and abilities whenever reasonably instructed

 

• Ensure all team members are up to date with CASS modules. Support the CASS SME’s with any governance and audit requests.

 

• To encourage a universal awareness of CASS throughout the organisation.  Ensure that employees undertake the appropriate Client Asset training

 

• To ensure that established CASS procedures and controls are robust and adhered to, and that any changes to activities are considered for CASS implications.  Ensure procedures and controls are kept up to date at all times and meet the requirements of the relevant regulatory regimes and clients

The Ideal Candidate

  • IOC or equivalent FCA recognised industry qualification
  • Detailed knowledge, ISA, Unit Trust, OEIC or Investment Trust administration
  • Good keyboard skills to include awareness of MS Office packages.
  • Good Verbal reasoning and numeric skills.
  • Ability to analyse and appraise work, to identify potential areas of concern that could lead to risk.
  • Knowledge of FSA regulatory environment
  • 5 years business experience
  • Resilience
  • Flexibility
  • Developed leadership skills, with a track record of delivering people and achieving results
  • Experience handling client demands and being accountable for service delivery

DST

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