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Senior Technical Associate, Registration

  • Job reference DST/TP/57366/11587
  • Job type Full Time
  • Sector Administration and Operations
  • Location Basildon
This vacancy has now expired.

The role of a Senior Technical Associate is to make relevant updates to the register and respond to customers, IFAs or third parties accordingly. You must 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

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 - 28th June 2019

Main Responsibilities

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

  • 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
  • Provide responses to external enquiries, including those from management companies in a timely and professional manner. Respond to complex enquiries including complaints and breaches
  • As an expert in the function, this role is a referral point for all areas of the business, internal and external
  • 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
  • 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
  • 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.
  • 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
  • Be a Subject Matter Expert in 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
  • Support your Team Leader with any Audit or Procedure update requests in respect of CASS
  • To provide cover in absence of the team leader. Attending meetings as necessary. Liaise with line management 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
  • Internal applicants - IOC Introduction to Securities and Investment
  • External applicants will be required to complete the IOC Introduction to Securities and Investment within a 12 month period from joining


  • 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
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