Transfers Supervisor

2 weeks ago


United Kingdom Nelson Scott Full time

To undertake and oversee all elements of asset transfer processing. This involves transfers of Stocks and Shares ISAs, Cash ISAs, certificated stock transfers and non-ISA portfolio transfers (both in and out) on both a cash and an in-specie basis.

Management Responsibilities

  • Providing leadership and direction to the Transfers Team, managing the team members on a day to day basis, ensuring performance measurement, development and training plans are in place
  • Ensuring day to day operational procedures are efficient, comprehensive and fit for purpose, together with being adequately documented, communicated and adhered to.
  • Effectively managing operating risk through a robust set of controls and escalation procedures. Working with all parties in response to operating events to strengthen controls.
  • To identify, initiate and oversee projects to improve our service capabilities and operational effectiveness

General

  • To undertake and oversee all administrative processes surrounding transfers both onto and across all product and portfolio types.
  • To undertake and oversee direct liaison with 3rd parties both in terms of documentation forwarding and query/issue resolution.
  • To oversee the checking of all transfer documents to ensure they are completed properly and meet internal and regulatory requirements.
  • To check/process and oversee all business accurately and on a timely basis and to ensure that all targets and internal service levels are met.
  • Act as a central point to resolve escalated issues.
  • Ongoing maintenance of static data within Equisoft system.
  • Active participation within the TeX community.
  • To ensure close liaison with other internal departments, to ensure all business processes run smoothly and effectively.
  • To support the collation of departmental statistics on a daily and monthly basis, where appropriate.
  • Active involvement in reviewing processes, procedures and controls on an ongoing basis to ensure all processes are as efficient (and risk controlled) as possible.
  • Review current processes within the operations teams. Identify and implement process improvements.
  • Detailed involvement in project work to develop the workings of the department.
  • Co-ordinate and support new business initiatives representing the Operations Department.
  • To inform Line Manager of areas of concern and issues that may arise.

WE WOULD LOVE TO HEAR FROM YOU / PLEASE APPLY IF:

  • Previous supervisor experience and experience of operational processes in wealth manager or private client asset management
  • Good all round securities knowledge
  • Understanding of the Crest GUI and Equisoft system ​

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