Senior Technical Associate, Dealing Services
The Dealing team is situated within DST House in Basildon. The office has parking and an onsite canteen.
This team is responsible for the processing of deals (e.g. buying/selling of investments) onto our client database system (FAST / Figaro/IFAST) on behalf of the Management Companies that DST services (i.e. our Clients) either by post or fax. Any deals received must be placed on the same day to ensure they get the correct valuation point (VP)
Your role will involve processing daily instructions on behalf of customers and/or agents and inputting the information into FAST / Figaro/IFAST. All work is received as an image via a paperless automated work system and must be processed adhering to both Financial Conduct Authority (FCA) regulations, and specific client deadlines/SLAs
- 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.
- Referral Point – Act as a referral point for other team members
- 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 including an QC of these items when required.
- 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.
- IOC Exams - Complete the IOC Introduction to Securities and Investment qualification within a 12-month period (applicable for new joiners to the company or if not already completed in previous role). Committing to study sessions and the input of additional hours to home study.
- 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.
- Subject Matter Expert – Become a SME in at least one process within the department, ensure procedures and training material is kept up to date and support line manager with any audits or walkthroughs as needed
- TL Cover - To provide cover in absence of the team leader. Attending meetings as necessary. Liaise with line management as required and sign off non ends.
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
- Reference salary based on experience and in line with the ACE salary progression scheme
- 20 Days holiday (increasing by 1 day for every year’s service up to a maximum of 25 days)
- 6% non-contributory pension scheme
- Life Assurance (4 x salary)
- Single person healthcare
- flex benefits scheme