Controls Oversight Analyst

2 weeks ago

Cirencester, United Kingdom St. James's Place Wealth Management Full time

**Location: Cirencester / Hybrid**

This role will be responsible for maintaining and developing a secure control environment as part of the Investment Operations team to ensure clients deals are allocated accurate fund prices per regulatory and corporate standards. This includes oversightof key third party providers including SS&C through varied daily, monthly and quarterly desktop monitoring and periodic onsite due diligence.

This is an exciting time to be joining this growing team following a recent organisational re-design as we build the function to support significant expected Assets Under Management growth over the next few years.

**What you’ll be doing**:

- Be responsible for the continuing assessment, maintenance and enhancement of a strong and robust control environment for the Investment Operations team, including overall control oversight for the team.
- Supporting the oversight and relationship with the transfer agent as a recognised SME both externally and internally with key SJP stakeholders.
- Owning and ensuring the risk and controls matrix covering the transfer agent is maintained and kept updated with controls completed on a timely basis.
- Undertaking secretary duties for the Asset Service Working Group and Asset Service Governance Group which are forums to facilitate oversight and monitoring of the transfer agent.
- Conducting periodic operational due diligence visits to the transfer agent locations in order to determine that they are operating compliantly and efficiently. Subsequent analysis provided in written reports to Investment Operations Committee for approval.
- Producing and analysing periodic and ad hoc Management Information in respect of transfer agent KPIs to be reported to senior management committees.

**We’re looking for**:

- A knowledge of the activities of the whole Investment Operations team and outsourced providers as well as an understanding of the client impact of inaccurate or untimely unit pricing.
- A reasonable level of technical knowledge in respect of regulatory and industry standards relating to Investment Operations processes.
- A knowledge and understanding of a strong control environment, looking for ways in which this can be enhanced.
- Attention to detail, ability to influence, both orally and in writing, outside the organisation and internally and the ability to multi task and work to tight timescales and manage conflicting deadlines.
- Ability to manipulate and analyse numerical information, formulating, presenting and implementing solutions to complex problems.

**Special Requirements**:
There is expectation that those in this role will coordinate pricing delays or issues which may require out of hours work. Local and overseas travel is also required to perform oversight operational third-party service provider visits.

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