Accessability Links
Job search

Senior Associate, Dealing Services

  • Job reference DST/TP/57366/11535
  • Job type Full Time
  • Sector
  • Location Basildon
This vacancy has now expired.

The role of a Senior Associate within Dealing Services is to ensure that all dealing related instructions received in by post or fax are dealt within regulatory guidelines and timeframes.

  • Closing date - 31st May 2019
  • Grade - Senior Associate (I/S2)

Main Responsibilities

  • Managing work queues - To review AWD work queues to ensure work is processed within SLA's for allocated Management companies and any additional work is completed within guidelines set by Team Leader and that books are closed on time.
  • Responding to queries - Ensure that all queries and e-mails are responded to in a timely manner.
  • Clearing NIGO's and answering referred work - Ensure that all NIGO'd work is correct and that all responses given for referred work are clear , unambiguous and answered in good time using the referral template.
  • Compliance samples, projects and procedures - Ensure that any work delegated by Team Leader and/or Line Manager is completed to deadlines set.
  • Escalation - Ensure that any work outside SLA or any error found or made is reported to team leader. Ensure that any serious errors are reported to line manager in line with the published escalation process.
  • Training and Development - Take responsibility for own development and provide manager with details of any training required. Ensure that annual regulatory training is completed.
  • IOC Exams - Commence study towards the IOC Introduction to Securities and Investment qualification (Note: This is optional and at the discretion of the individual and their line manager. The qualification is however a pre-requisite for more senior roles within the ACE scheme)
  • AOM - Ensure that RTM is logged correctly.
  • Completion of Operational Checklist Portal - Ensure that OCP checklists for allocated Management Companies are completed accurately and on-time, if late a reason is provided.
  • Assisting other area - Ensure that Team Leader is aware if own allocated work is light so additional work can be provided. Be willing to assist in other areas / teams as required.

Ideal Candidate

  • Good keyboard skills to include awareness Word, Excel and Outlook
  • Good Verbal reasoning and numeric skills
  • Experience in Financial Services Investment Industry
  • Ability to work to strict deadlines
  • Good accuracy and attention to detail
  • Ability to work on own initiative when required
  • Good communication skills
  • Good organization skills
  • Annual Regulatory Training
  • Flexibility

Package

  • Reference salary based on experience and in line with the ACE salary progression scheme
  • 20 Days holiday (increasing by 1 day for every year's service up to a maximum of 25 days)
  • 9% pension scheme (6% non-contributory & 3% self contribution)
  • Life Assurance (4 x salary)
  • Single person healthcare
  • Flex benefits scheme
NANorth America
Join us
EMEAEurope, The Middle East & Africa
APACAsia-Pacific

Awards & Accrediations