Accessability Links
Job search

Senior Associate, Registration

  • Job reference DST/TP/57366/11631
  • Job type Full Time
  • Sector Administration and Operations
  • Location Basildon

The role of a Senor Associate in the Registration Team is to make relevant updates to the register and respond to customers, IFAs or third parties accordingly. Be able to work within strict guidelines and in line with Service Level Agreements (SLAs) and Key Performance Indicators (KPIs).

Registration is made up of a number of different processes:

  • Anti-money Laundering - To identify the required documents needed to verify clients' identity in accordance with money laundering regulations
  • Settlements - Settling deals within regulatory timescales, making payments to the correct location, acceptance of registration documents and the application of coverall agreements and alternative payment mandates
  • Client and Agent Maintenance -To identify the required documents/instructions needed in order to make relevant updates to the register
  • Estate Maintenance - To identify the required documents needed in order to make relevant updates to the register and provide information to assist the completion of the administration of the estate. To enable the correct issue of distribution payments following the death of the investor
  • Legal Documents - To identify the required documents needed in order to make relevant updates to the register for living clients such as powers of attorney and communicating the impact of the updates
  • Regular Savings Facility - To identify the required documents needed in order to set up and maintain Regular Saving and Regular Income Plans. Complete the required actions on receipt of direct debit rejections
  • Residency - To request and record the tax residency information for both retail and corporate clients

Grade - Senior Associate (S2)

Closing date - 2nd September 2019

Main Responsibilities

The Senior Associate, Registration role includes the following tasks:-

  • To review work queues to ensure work is processed within SLAs for allocated Management companies and any additional work is completed within guidelines set by Team Leader
  • Ensuring that all enquiries and e-mails are responded to in a timely and professional manner
  • Ensure 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
  • 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)
  • Be willing to assist in other areas / teams as required

Ideal Candidate

  • Good keyboard skills to include awareness of MS Office packages
  • Good Verbal reasoning and numeric skills.
  • Ability to analyse and appraise work, to identify potential areas of concern that could lead to risk
  • Experience in Financial Services Investment Industry

Package

  • Reference salary based on experience and in line with the ACE salary progression scheme
  • 28 Days holiday including bank holidays (increasing by 1 day for every year's service up to a maximum of 33 days)
  • 9% pension scheme (6% non-contributory & 3% self contribution)
  • Life Assurance (4 x salary)
  • Single person healthcare
  • Flex benefits scheme

Grade - Senior Associate (S2)

Closing date - 2nd September 2019

NANorth America
Join us
EMEAEurope, The Middle East & Africa
APACAsia-Pacific

Awards & Accrediations