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Senior Technical Associate, FCP Team

  • Job reference DST/TP/57366/12414
  • Job type Full Time
  • Sector Compliance And Regulatory
  • Location Basildon
  • Reference salary based on experience
  • 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
  • Discount scheme
  • Sports and Social membership
  • On-site canteen
  • Free on-site parking

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

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