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Senior Associate - Dealing Services

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

Job Introduction

To ensure that all dealing related instructions received in by post or fax are dealt within regulatory guidelines and time frames.

Full and part time options available.  Part time hours would be 10-2pm

Role Responsibility

  • Managing work queues - To review AWD 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 queries - Ensure that all queries and e-mails are responded to in a timely manner.
  • Clearing NIGO’s and answering referred work - Ensure that all NIGO’d work is correct and 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.
  • Escalation - Ensure that any work outside SLA or any error found or made is reported to team leader. Ensure that any serious errors are reported to line manager in line with the published escalation process.
  • Training and Development - Take responsibility for own development and provide manager with details of any training required. Ensure that annual regulatory training is completed and act as a referral point for S1 and S2 grades where required.
  • AOM - Ensure that RTM is logged correctly. 
  • 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 area - 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.
  • Late shift requirements – Learn requirements of Dealing late shift to cover this when required as part of the rota.
  • Custody (If applicable to team) -  To ensure that all daily and monthly dealing contracts are entered into Custody on Trade Date
  • To ensure that any failed trades or reconciliation issues are investigated and resolved
  • To ensure that the Transaction Reporting files are uploaded T+1
  •  Custody (If applicable to team) Managing Trade Confirmation Inbox - To manage the broker contract notes received ensuring that these are entered and approved in the Custodian website on Trade Date
  • Custody (If applicable to team) Ensuring Failed Trades are investigated – Investigate and resolve failed trades by liaising with the brokers and Custodians.
  • Custody (If applicable to team) Ensure Stock Breaks are Investigated – Investigate and resolve stock breaks for all Investment Trust Management Companies, liaise with Dealing and Stock Transfers to rectify these
  • Custody (If applicable to team) Upload of Transaction Reporting Files – Ensure the files are reviewed and correct and uploaded to Una Vista on T+1 and resolve any exceptions

The Ideal Candidate

  • Good keyboard skills to include awareness Word, Excel and Outlook.
  • Good Verbal reasoning and numeric skills.
  • Experience in Financial Services Investment Industry
  • Ability to work to strict deadlines
  • Good accuracy and attention to detail
  • Ability to work on own initiative when required Good communication skills Good organization skills
  • Annual Regulatory Training
  • Flexibility    
  • Knowledge of investment products and administration
  • Knowledge of FCA regulatory environment
  • Experience of data input processes


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