Senior Associate, Registration
The role of a Senor Associate in the Registration Team is 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:
- Anti-money Laundering - To identify the required documents needed to verify clients’ identity in accordance with money laundering regulations
- Settlements - Settling deals within regulatory timescales, making payments to the correct location, acceptance of registration documents and the application of coverall agreements and alternative payment mandates
- Client and Agent Maintenance -To identify the required documents/instructions needed in order to make relevant updates to the register
- Estate Maintenance - To identify the required documents needed in order to make relevant updates to the register and provide information to assist the completion of the administration of the estate. To enable the correct issue of distribution payments following the death of the investor
- 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
- Regular Savings Facility - To identify the required documents needed in order to set up and maintain Regular Saving and Regular Income Plans. Complete the required actions on receipt of direct debit rejections
- Residency – To request and record the tax residency information for both retail and corporate clients
Grade - Senior Associate (S2)
The Senior Associate, Registration role includes the following tasks:-
- To review work queues to ensure work is processed within SLAs for allocated Management companies and any additional work is completed within guidelines set by Team Leader
- Ensuring that all enquiries and e-mails are responded to in a timely and professional manner
- 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
- Take responsibility for own development and provide manager with details of any training required. Ensure that annual regulatory training is completed
- IOC Exams - Commence study towards 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)
- Be willing to assist in other areas / teams as 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 Financial Services Investment Industry
- Reference salary based on experience and in line with the ACE salary progression scheme
- 28 Days holiday including bank holidays (increasing by 1 day for every year’s service up to a maximum of 33 days)
- 9% pension scheme (6% non-contributory & 3% self contribution)
- Life Assurance (4 x salary)
- Single person healthcare
- Flex benefits scheme
Grade - Senior Associate (S2)
About the Company
DST is a leading provider of specialised technology, strategic advisory, and business operations outsourcing to the financial and healthcare industries. We enable clients to transform complexity into strategic advantage by helping them continually stay ahead of and capitalise on ever-changing customer, business, and regulatory requirements in the world's most demanding industries.
Headquartered in Kansas City, Missouri, USA, DST is a public company listed on the New York Stock Exchange (NYSE: DST), employing over 16,000 talented people globally.
In March 2017, DST acquired International Financial Data Services (IFDS) in the UK and Ireland; making DST a leading provider of investor and policyholder administrative services to the funds, insurance and wealth management industries.
DST employs ~5,000 people across 12 locations in the UK and Ireland.
All offers of employment at DST are subject to background verification checks, including 5 year employment history, proof of eligibility to work in the UK, proof of address, credit check and criminal record check. The accuracy of all information you submit as part of your application is vital and may be used as part of the background checking process should you be successful.