Investment Operations - Transfers Team Supervisor

OVERALL SUMMARY

To undertake and oversee all elements of asset transfer processing. This involves transfers of Stocks and Shares ISAs, Cash ISAs, certificated stock transfers and non-ISA portfolio transfers (both in and out) on both a cash and an in-specie basis.

RESPONSIBILITIES

Management Responsibilities

• Providing leadership and direction to the Transfers Team, managing the team members on a day to day basis, ensuring performance measurement, development and training plans are in place
• Ensuring day to day operational procedures are efficient, comprehensive and fit for purpose, together with being adequately documented, communicated and adhered to.
• Effectively managing operating risk through a robust set of controls and escalation procedures. Working with all parties in response to operating events to strengthen controls.
• To identify, initiate and oversee projects to improve our service capabilities and operational effectiveness

General

• To undertake and oversee all administrative processes surrounding transfers both onto and from CBAM across all product and portfolio types.
• To undertake and oversee direct liaison with 3rd parties both in terms of documentation forwarding and query/issue resolution.
• To oversee the checking of all transfer documents to ensure they are completed properly and meet internal and regulatory requirements.
• To check/process and oversee all business accurately and on a timely basis and to ensure that all targets and internal service levels are met.
• Act as a central point to resolve escalated issues.
• Ongoing maintenance of static data within Equisoft system.
• Active participation within the TeX community.
• To ensure close liaison with other internal departments, to ensure all business processes run smoothly and effectively.
• To support the collation of departmental statistics on a daily and monthly basis, where appropriate.
• Active involvement in reviewing processes, procedures and controls on an ongoing basis to ensure all processes are as efficient (and risk controlled) as possible.
• Review current processes within the operations teams. Identify and implement process improvements.
• Detailed involvement in project work to develop the workings of the department.
• Co-ordinate and support new business initiatives representing the Operations Department.
• To inform Line Manager of areas of concern and issues that may arise.
• Consistently demonstrate the Firm’s Business Principles (Client, Excellence, People & Integrity).

WE WOULD LOVE TO HEAR FROM YOU / PLEASE APPLY IF:

• supervisor experience and experience of operational processes in wealth manager or private client asset management
• An ability to manage, coach and develop people effectively.
• Able to challenge current processes within the team and provide solutions and efficiencies.
• Accuracy and attention to detail
• Able to build effective relationships with 3rd parties and internal customers such as the fund managers
• Flexibility and availability to work overtime during peak workload periods.
• Excellent communication skills (verbal and written).
• Team player willing to respond to varied requests
• Good all round securities knowledge
• Understanding of the Crest GUI and Equisoft system

As an employer, Close Brothers Asset Management is committed to equality and valuing diversity within its workforce. We provide equality of opportunity and will aim to ensure that no employees or candidates are subject to discrimination on grounds of any characteristics including but not withstanding gender, gender identity, marital status, sexual orientation, race, colour, nationality, religion, age, disability, working pattern, caring responsibilities, political beliefs.

We appreciate that from time to time, recruitment agencies will have speculative CVs that they may wish to submit to our Talent Acquisition team in relation to a specific role.

To avoid any ambiguity around fees, please note that speculative CVs received by Close Brothers, that have not been authorised in advance, by us, will be ineligible for an agency fee. Thank you.

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At Close Brothers Asset Management, we are all connected by our mission to be the best place in the UK for wealth professionals and their clients. We are part of Close Brothers, a FTSE 250 leading UK merchant banking group.

We believe that everyone should think ahead, have a financial plan and invest wisely. Our clients are professionals, business owners, individuals, charities, families, and employers, who rely on our clear financial advice and investment management services to preserve and grow their long-term savings and investments.

We are a team of about 800 people based in 14 offices across the UK. Our geographic footprint means we can combine a local approach with face-to-face services to enable strong, long-term relationships with our clients.

Sustainability is fundamental to our purpose and we have a responsibility to help address the social, economic and environmental challenges facing our business, colleagues and clients. We strive to do the right thing and are dedicated to helping the charities that matter most to our people.

Our vision is to develop an open and inclusive company that ensures everyone is valued, respected and included, so that in years to come our business will represent a diverse and inclusive workforce from the top down.

We look to recruit individuals from all different backgrounds. If this job is of interest to you but you do not meet every criteria then we encourage you still to apply as we are open to providing training opportunities. As an early adopter of hybrid working we are open to discussing all types of flexible working options, helping you to balance your work and home life.