CASS Analyst - Registration/ KYC/ Legal Banking/Finance - London, United Kingdom,
CASS 7 & 8 Analyst - Registration/ KYC/ Legal (Banking/Finance)
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.
The Registrations main roles are to ensure that for all registration and renunciation instructions received are processed accurately, within SLA (Service Level Agreements), VP (Valuation Points), and Regulatory and Client requirements
Registration instructions are received from various platforms, institutional, retail and oversea investors and will typically contain more than one client.
The team also perform a registration reporting role, answering complex/ technical registration queries and liaise with internal teams and external clients (both retail and institutional), senior management and internal stakeholders.
The key responsibilities of the role include:
- Be able to serve as a SME (subject matter expert)
- Oversee, monitor and give guidance/sign off on the process for a wide range of transactions/funds from start to end
- Perform and oversee QA (Quality Assurance) checks are performed on processed work items from India
- Ensure all tasks within the workflow and enquires via email and other teams are processed within the SLA (Service Level Agreements) and VP (Valuation Points)
- Follow processes, checklists, procedures and client requirements at all times
- Maintain a close working relationship with both internal and external clients and partners
- Ensure your eye for detail/ accuracy levels remain high, understand the impact of the errors and breaches that are occurring
- Deliver green KPI (Key Performance Indicators) as a team
- Escalate and report where required, as well as being an escalation point
- Complete all mandatory training within the set deadlines
- Train and support partners where required across locations
- Understand and communicate new and existing regulatory, changes and client requirements
- Identify any key trends from the work you and the team are undertaking
- Support and check Internal/Client Audit and client visits
- Put forward and present yours and others solutions and idea's
- Support and communicate the creation/updates of new processes, controls, checklists and procedures
- As directed partake in Projects and changes
- Maintain a positive attitude, be a role model/ professional at all times
The successful candidate will benefit from having:
- Detailed knowledge and experience of registration processes i.e, Deceased documents, Legal documents, Regular Savers, Agent Maintenance, Electronic Re Registration, Renunciation, APS.
- Knowledge and understanding of FCA / HMRC regulatory Environment
- Experience and awareness of regulatory impacts of Registration processes i.e GDPR, CASS 8
- Ability to work on own initiative and multi task
- Extensive knowledge of collective investment scheme administration and the regulatory environment
- General OEIC Admin experience desirable
- Ability to work to set deadlines
- Ability to use Excel and Word competently
- Attention to detail and strong accuracy
- Analytical skills are required to research and resolve enquiries
- Good communication skills
- Customer Service experience
TO APPLY - PLEASE REPLY WITH AN UP TO DATE CV
Candidates will ideally show evidence of the above in their CV in order to be considered.Please be advised if you haven't heard from us within 48 hours then unfortunately your application has not been successful on this occasion, we may however keep your details on file for any suitable future vacancies and contact you accordingly.
Pontoon is an employment consultancy and operates as an equal opportunities employer.