Registration Senior Administrator
To make relevant updates to the register and respond to customers, IFAs or third parties accordingly. Be able to work within strict guidelines and in line with Service Level Agreements (SLAs) and Key Performance Indicators (KPIs).
Registration is made up of a number of different processes:
• Client Maintenance including new account creation -To identify the required documents/instructions needed in order to make relevant updates to the register and set up accounts in line with regulatory requirments
• Legal Documents – To identify the required documents needed in order to make relevant updates to the register for living clients such as powers of attorney and communicating the impact of the updates
• Residency – To request and record the tax residency information for both retail and corporate clients.
• Managing work queues - To review work queues to ensure work is processed within SLA’s for allocated Management companies and any additional work is completed within guidelines set by Team Leader.
• Responding to enquiries - Ensure that all enquiries and e-mails are responded to in a timely and professional manner.
• Answering referred work from India colleagues – Ensure that all responses given for referred work are clear, unambiguous and answered in good time using the referral template.
• Compliance samples, projects and procedures - Ensure that any work delegated by Team Leader and/or Line Manager is completed to deadlines set.
• Training and Development - Take responsibility for own development and provide manager with details of any training required. Ensure that annual regulatory training is completed.
• IOC Exams - Complete the IOC Introduction to Securities and Investment qualification (Note: This is optional and at the discretion of the individual and their line manager. The qualification is however a pre-requisite for more senior roles within the ACE scheme)
• Active Operational Management - Ensure that your time is logged correctly on RTM.
• Completion of Operational Checklist Portal - Ensure that OCP checklists for allocated Management Companies are completed accurately and on-time, if late a reason is provided.
• Assisting other areas - Ensure that Team Leader is aware if own allocated work is light so additional work can be provided. Be willing to assist in other areas / teams as required.
• Subject Matter Expert – Be a referral point for S1 and S2 grades where required. Be able to review and update procedures and cover Team Leader duties when required
The Ideal Candidate
- 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
- Experience in the financial industry