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Breach Administrator, Senior / Lead Associate

  • Job reference DST/TP/17446/10084
  • Job type Full Time
  • Sector Administration and Operations, Compliance And Regulatory, Funds/Transfer Agency/Asset Management, Life & Pensions/Insurance, Wealth Management/Investment Platforms
  • Location Basildon
This vacancy has now expired.

The Breach Team are responsible for investigating errors resulting in a regulatory or data protection breach.

You will support the team to complete detailed reports to explain the issue to the clients (leading investment providers) and DST Management. Within the role you will also help to identify the root cause and suggest improvements in processes where necessary.


  • Reference salary based on experience and in line with the ACE salary progression scheme
  • 28 Days holiday inclusive of bank holidays (increasing by 1 day for every year's service up to a maximum of 33 days)
  • 6% non-contributory pension scheme
  • Life Assurance (4 x salary)
  • Single person healthcare
  • flex benefits scheme

Main Responsibilities

  • Review breaches raised by Operational Areas
  • Identify breaches raised in error and void accordingly
  • Give feedback to raisers of the incident
  • Approve the initial breach report to the clients
  • Ensure all completed within 24hr SLA
  • Deal with any late reported breaches, liaising with relevant Manager

Breach investigation

  • Investigate the issue, liaising with Operational Managers where relevant
  • Review procedures and The Knowledge Base to clarify correct procedure
  • Identify root cause of the issue and record correctly on RON
  • Complete a detailed sequence of events to explain the issue
  • Identify any subsequent issues as a result of the initial error
  • Ensure corrective action is taking place - liaise with Operational areas where relevant
  • Identify any incidents that have been raised in error and void accordingly
  • Some liaison with ManCos maybe necessary
  • Raising compensation payments where relevant
  • Escalate to Team Manager where necessary

Raising breaches

  • Deal with errors identified that are believed to be breaches for the Contact Centres of a small number of Management Companies.


  • Deal with contested errors from the business - this involves reviewing a completed breach that is being contested by the business area named on the root cause. Reviewing the reason the breach is being contested and liaise with the area to conclude the query. Reissuing the breach to the ManCo if necessary.
  • Deal with queries from the ManCo on completed breaches - reissuing the breach if necessary
  • Giving feedback to Breach Team staff via Reg Error process on RON re contested errors and external queries
  • Deal with breach related queries from the Breach Administration Team in India, guiding on the investigation of a specific issue and also guide them to help them not need to raise the same query again.

Quality Checking

  • Quality checking is completed by senior members of the team once fully trained in all other areas
  • QC all breaches that have been completed - give feedback and guidance to breach team staff on any discrepancies and errors
  • Ensure all breach forms give a clear explanation of the issue and stand alone, ensuring the ManCos will be able to understand what occurred.
  • Record quality stats for the breach team staff

Ideal Candidate

  • Ability to investigate, summarise and express your findings both verbally and in writing
  • Analytical ability to determine root cause of the error and make recommendations where relevant.
  • Good organisational and planning skills that allow for peaks and troughs in the work flow. Able to plan own workloads and take full responsibility for allocated work.
  • Flexible approach to working hours
  • Attention to detail and ability to work under pressure within tight timescales
  • Good communicator in writing, by telephone and face to face. Ability to communicate at all levels, understands the audience being addressed and able to tailor communication appropriately.
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