Team Leader, Registration
To lead an operational team within Registration, working 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.
You will be required to lead a team of staff and actively manage your team through our planning and resource tools. You will be a key player in achieving business standards, motivating your team and completing work in line with Service Level Agreements (SLAs) and Key Performance Indicators (KPIs).
You will also be responsible for oversight of any offshored functions.
- Managing work queues and allocating resource - Managing work queues to ensure that all work is completed within SLA and any items outside of SLA are valid and monitored daily until completed. Allocating resource throughout the day to achieve this
- Collate Information for compliance -Collate compliance sampling and ensure they are completed in a timely manner and are of the required standard. Attend compliance meetings when required
- Training Team Members – Plan and co-ordinate cross training when required, ensure the skills matrix is kept up to date
- Workware - Validate daily figures and challenging unrealistic figures. Completing the weekly plans, Daily Buzz sessions and liaising with Team Managers regarding loading meetings.
- Operational Checklist Portal - Ensure that your own and your team’s OCP checklists are completed accurately and that no tasks are signed off unless complete
- Enquiries and e-mails - Provide responses to external enquiries, including those from management companies in a timely and professional manner.
- Staff Appraisals - Support your manager with 1-1s for team members. Ensure team members have quality stats provided each month.
- Management Cover - To provide cover in absence of the manager. Attending managers meetings. Liaise with management team including senior management as required. Attend Project meetings when required.
- Procedure reviews - Ensure annual procedure reviews are completed within deadlines.
- Team Meetings – Support manager with team meetings and buzz sessions for staff development and engagement.
- Communicate with offshore counterparts – Maintain communication with offshore counterparts and liaise daily to ensure all deadlines are being met
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
- Relevant experience in the financial industry
- IOC Introduction to Securities and Investment, or commitment to complete the IOC Introduction to Securities and Investment within a 12 months in role
- Competitive annual salary
- 20 Days holiday
- 6% non-contributory pension scheme
- Life Assurance (4 x salary)
- flex benefits scheme