Transfer Agency Services at FNZ undertakes the role as transfer agent for multiple Authorised Corporate Directors for both Institutional and Retail investors across locations
- Investor On-boarding (setting up new clients on the system, includes KYC etc.).
- Dealing (instructions received via various means to buy/sell funds).
- Box Management (process of managing the movements in/out of funds).
- Stock Transfers (instructions received via various means to move units between holders).
- ISA Transfers Cash and In-specie (in and out to and from external providers).
- Corporate actions e.g. AMC reduction & Fund Mergers
- Settlement (process of moving money for buys and sell of funds).
- Distributions (calculation of interest (cash/units) received during fund period).
- Monthly Transactions and Holdings Reporting (issuance of clients statements & transactions).
- Enquires both written and verbal
- Complaint handling
- Register Maintenance including deceased process
- Reconciliations/Record keeping
- All Output for all investors i.e. contract notes, tax vouchers, statements as well as ad-hoc
- HMRC, IA, CMAR etc. preparation of reporting for ACD’s
- System, client and regulation change/s
This role is/will be part of the UK Transfer Agency Services team, which is currently made up of 4 departments – Operations (Dealing, Box, Registration, Cash) Reconciliations, Technical and Business Readiness. The role-holder will be able to lead and manage team as well as understanding the governing FCA rules – in particular COBS, COLL and CASS and will demonstrate an understanding as part of their role. There will be the opportunity to be involved in future on-boarding projects as well as change within the company.
- Monitor and support all Tasks/Functions including emails/telephone calls and outbound correspondence to ensure they are completed correctly and within timeframes, KPI’s (Key performance Indicators, SLA (Service Level Agreements) and Regulatory rules including CASS
- Maintain Green KPI’s across all ACD’s
- Ensure team members are following and maintaining updates procedures (including version control), evidence where applicable and signing off checklists including your final sign off at all times to eliminate risk events, reputational impact and financial loss. Identify any key trends i.e. training and/or procedure updates. Spot check preventative actions are maintained.
- Feedback to team members, monitor and track all risk events and near misses to ensure preventative actions presented, introduced and maintained whilst
- Make sure that your team members and you Consider the end investors at all times i.e. Client Service, TCF (treating customers fairly and Vulnerable investors
- Encourage pro-active support of colleagues both within and/ or outside of your current department and role
- You and you are team are Accountable/Responsible for all actions which are undertake and errors
- Support and recognise SME’s (Subject matter expert) across Transfer Agency – Support, coach and train others including knowledge sharing as requested including being able to support i.e. ACD, Compliance and Audit reviews
- Answer and ask questions and concerns however small where required including Escalate to all management levels where applicable
- Ensure you and team members Take note of all changes including i.e. systems, processes, procedures, checklists and regulatory – this includes training and procedures being delivered
- Your team and you need to keep up to date with the financial industry i.e. Transfer Agency forum website, news feeds and internal communications
- Your team and you need to make sure Mandatory training and test to be completed within set timeline
- Support ACD, Compliance and Audit visits etc.
- Ad hoc tasks/projects where directed which will also require the support of i.e. system testing
- Lead, manage and performance manager your team members including following managers best practice
- Encourage your team members and you to put forward/present idea’s, solutions and risks–support/take ownership and track through to resolution
- Ensure you and team members maintain a positive attitude to your work and department and develop your own personal skill sets i.e. time keeping, absent management, training matrix and IOC’s
- Ability to work to daily deadlines.
- Working knowledge of excel.
- Attention to detail.
- Attained modules in the IOC (“Investments Operations Certificate”). – if not these will need to be obtained within 2 years of commencing into this role
- Pro-active individual who can challenge processes and recommend improvements.
- Experience of working in a finance role
Why join the FNZ journey?
- Be part of a highly successful, rapidly growing, global business that is leading the delivery of financial services via cloud computing and partners with some of the world’s largest companies.
- Remuneration and career advancement is based on individual contribution and business impact rather than tenure or seniority.
- We provide significant financial rewards for high performing individuals.
- We provide global career opportunities for our best employees at any of our offices in the UK, Czech Republic, Australia or New Zealand.