Supervisor/ Assistant Manager within Financial Service

Twenty Four Seven Recruitment Solutions Ltd
London (Greater)
14 Sep 2018
16 Oct 2018
Contract Type
Full Time

A leading global provider of financial administration solutions. As one of Europe’s leading asset servicing platforms,They interact with almost 6m investors, administering and safeguarding £600bn of assets across 10 highly regulated markets.


To provide the oversight and direction required on a day–to–day basis to ensure that the Share Plans dealing team provides service excellence to those Clients who have outsourced responsibility for administration of their employee share plans (i.e. SIPs) to Share Plans.

* The Supervisor is accountable to the Manager of the SIP dealing team with respect to achievement of both their personal goals and the objectives of the team. Additionally the Supervisor will be required to oversee the work and performance of some of the Administrators working within their team.

* Execute sales of the plans administered, adhering to;

* department procedures

* the Client’s and Participants requirements

* the Trustee/Scheme Rules

* HMRC guidelines

* FCA guidelines

* Risk Policy

* Other Regulatory requirements/bodies as appropriate

* Understand and apply CASS understanding to the day-to-day processing of work

Ensure remedial work is carried out immediately, where an issue involves client money, to stop or resolve a CASS breach in a timely manner. Escalate to line manager as appropriate.

Professionally dealing with telephone/written/e-mailed enquiries, requests and complaints from Participants and Clients (typically the personnel/company secretariat functions)

Adherence to internal procedures relating to complaints, including the completion of Complaint Action Forms and Incident Reports where necessary

Accurate production and distribution of monthly and ad-hoc reports to Clients

Work with the SIP dealing team with respect to clearance of stock differences, aged < 8 weeks, highlighted by the monthly stock reconciliations

Clear cash differences highlighted by the regular bank account reconciliations, target nil exceptions > 21 days

Respond to calls referred by the CCC within the SLA of 48 hours

Assisting the management of the team, through regular 121’s, coaching and development plans and performance management where required

Execute market sales, updating the required systems and providing documentation to the Payments & Audit team on Settlement day

Provide coaching and direction to the team ensuring that the appropriate development needs and training goals are identified and addressed.


Requirement to study towards IOC (Investments Operations Certificate) or equivalent qualification, for example, within a six month period of appointment:

Securities Institute IOC Compulsory Units (one from each) :

* Introductory units – Introduction to Securities and Investment or International Introduction to Securities and Investment

* Regulatory Units – UK Financial Regulations, Principles of Financial Regulations or Local Regulatory Paper

IOC Technical Unit (One from twelve)

* Administration of Settlement and Investment

* Asset Servicing

* Collective Investment Schemes Administration

* Combating Financial Crime

* Exchange-Traded Derivatives Administration

* Global Financial Compliance

* Global Securities Operations

* ISA Administration

* IT in Investment Operations

* Operational Risk

* OTC Derivatives Administration

* Risk in Financial Services

This is a high profile role that impacts on both Clients and Participants and potentially the financials of the client. Whilst specific experience of Share Plans is not required experience of working in the financial services industry would be beneficial. The Supervisor should be educated to A Level (or hold 2 – 3 years specific experience).

* Proactive, focused attitude towards work and an ability to consistently meet deadlines

* High level of accuracy and attention to detail, with sound analytical, research and investigation skills

* Strong communication skills, both verbal and written and a very strong customer service orientation

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