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Senior Technical Associate, FCP Team

  • Job reference DST/TP/57366/11875
  • Job type Full Time
  • Sector Administration and Operations, Compliance And Regulatory
  • Location Basildon
This vacancy has now expired.

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 You will be required to support our off-shore processing team and offer guidance when required

This role will have fully proficient and in-depth understanding of the function they are working in, being able to use developed specialised skills to complete a wide range of tasks with a limited degree of supervision.

  • Grade - Senior Technical Associate (H/P2)
  • Closing date - 7th October 2019

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.
  • Enquiries and e-mails - Provide responses to external enquiries, including those from management companies in a timely and professional manner. Respond to complex enquiries including complaints and breaches
  • Referral Point - As an expert in the function, this role is a referral point for all areas of the business, internal and external
  • Answering referred work from India colleagues - 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 including QC of these items when required.
  • 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 - Complete the IOC Introduction to Securities and Investment qualification within a 12-month period (applicable for new joiners to the company)or if not already completed in previous role) committing to study sessions additional hours outside of the working day to home study.
  • Active Operational Management - Ensure that your time is logged correctly on RTM
  • 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 areas - 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.
  • Subject Matter Expert - Be a SME in at all processes within the team, ensure procedures and training material is kept up to date and support line manager with any audits or walkthroughs as needed.
  • CASS - Support your Team Leader with any Audit or Procedure update requests in respect of CASS.
  • Team Leader Cover - To provide cover in absence of the team leader. Attending meetings as necessary. Liaise with line management as required.

Ideal Candidate

  • Basic 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
  • Desirable - IOC Introduction to Securities and Investment


  • 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
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