Associate - Client Money
3 weeks ago
All WAYSTONE employees are expected to demonstrate our core competencies as outlined below. The role of Associate, has unique requirements and duties; however, these responsibilities are to be executed within the organisation’s framework of core values. WAYSTONE expects all employees to be high performing, self-motivated, learners and leaders._
**Summary**:Reporting to the Vice President - Client Money, the Associate - Client Money will be an integral part of the team’s success. You will be responsible for assisting with the maintenance and administration of Client Money and ensuring all monetary transactions are monitored and processed accurately on a daily basis.
**Education**:
- IOC qualification or prepared to undertake this as part of the role
- Good level of education at GCSE level or equivalent
**ESSENTIAL DUTIES AND RESPONSIBILITIES**
- Maintenance of Client Money/OPS/Distribution cashbooks and accounts across all ACD and Administration only mandates.
- Preparing payments to clients (redemptions)
- Monitoring payments in from clients
- Preparation of payments for management fees
- Preparation of distribution payments to clients
- Approval of payments where required
- When required to approve Client Money transfers as a second approver or as a first approver when acting as cover.
- Work with the Transfer Agency department to identify all payments received and ensure all payments out are accurate and processed in accordance with the relevant deadlines.
- Arranging payments of regular savers / advisor charging / regular investors
- First port of call for all payment issues and enquiries
- Managing and responding to all inbox queries
- Assisting with the continuous review and improvement of Client Money policies and procedures
- Awareness of applicable Client Money regulations
- Adherence to the conduct rules as defined by SM&CR and the FCA regulations
- Participate in the Company appraisal process and take responsibility for identifying, undertaking, and recording your own professional development and best practice.
- Carry out duties in accordance with agreed professional and performance standards.
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