Senior Customer Service/Contact centre Representative Transfer Agency Technical Co-ordinator, Oversight 6 months Limerick We are currently looking for a candidate with experience within financial services/Banking, Contact centre The Transfer Agency department provides a third party fund administration service to numerous fund management The Transfer Agency department provides a third party fund administration service to numerous fund management companies covering the full range of shareholder servicing functions including dealing, registration, settlements, distributions, commissions and statements.
Role The Oversight teams main purpose is to maintain end to end oversight of all key touch points in line with regulatory guidance.
The key roles and responsibilities will be based on Risk-based methodology to ensure that the correct level of oversight and due-diligence is performed on the outsourced, processing locations.
The team ensure KPIs are maintained, issues log and escalation of issues or process gaps.
The oversight will be of the processing location (Tier 3 India) and oversight location (Tier 2 Limerick).
All investor/client instructions received from platforms, institutional and retail investors are processed accurately, within SLA (Service Level Agreements), VP (Valuation Points), and Regulatory and Client requirements And processed operated in line with controls.
Key responsibilities To champion the oversight model and growth of London as Oversight location and the benefits of the Oversight team, actively participate in the development and success of the team.
To work with the team, internal departments and group projects area on any allocated projects.
Work with the team to ensure oversight is evidenced of offshore locations, take part in annual DD reviews and SLD reviews where required.
Take responsibility to Identity and undertake own training to ensure you can keep up with processes and controls and train and support partners where required Regularly review the operating effectiveness of key processes/functions/controls within Transfer Agency, specifically where relating to the protection of client money and custody assets, and suggest enhancements.
Build and maintain strong relationships with Business', CASS office, Compliance, Audit functions and other key partners including onshore and offshore teams Compile and produce MI representing the monthly outcomes of teams Oversight sampling, ensure this can be produced and continuously improved dependant on outcomes of testing to ensure MI reflects trends and outcomes that need to be highlighted or escalated Ensure appropriate records are retained to evidence the oversight methodology used for sample selection Complete regular oversight review checks and ensure controls outlined are working as expected to prevent errors Ensuring compliance with all applicable regulations (e.g.
AML + CASS), UKTA are operating in line with internal Polices, Standards and Risk Appetite and are Complying with the regulatory regime in which and Transfer Agency operates as appropriate to the above role.
Skills/Qualifications Demonstrate a detailed understanding of end to end Operational processes in Registration, Dealing, Box, Settlements, Distributions /Tech teams Strong excel/powerpoint skills to prepare and innovate MI and teams trackers Proven strong communication skills and ability to present to a variety of audiences Demonstrate a good understanding of UK Transfer Agency functions, roles & responsibilities Demonstrate a good understanding of the CASS regulations and knowledge and understanding of FCA / HMRC regulatory Environment IAQ Merit award or working towards this qualification General OEIC/ISA/ACS/PAIF Admin experience desirable and Extensive knowledge of collective investment scheme administration Prior experience in audit / assurance (highly beneficial) Strong organisation skills in order to support the due diligence methodology.
Ability to review and resolve complex issues working under pressure meeting challenging deadlines Excellent planning and organisation skills with a flexible approach to work Ability to work on own initiative and multi task Ability to work to strict set deadlines Attention to detail and strong accuracy Analytical skills are required to research and resolve enquiries Good communication skills Customer Service experience Skills: Transfer Agency fund Oversight