Investment Operations Manager

This range is provided by William Blake Group. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Direct message the job poster from William Blake Group

PLEASE NOTE! TRANSFER AGENCY EXPERIENCE IS ESSENTIAL FOR THIS ROLE. PLEASE DO NOT APPLY IF YOU DON'T HAVE THIS EXPERIENCE.

The purpose of the role is to oversee and lead the team in the performance and delivery of processes and controls within the scope of the Operations team covering core outsourced Transfer Agency services. The Operations Team provides oversight of functions currently outsourced to its critical third party outsource provider(s) for both its UK & Lux funds. Complex queries are handled by this team requiring hands on support and detailed operations knowledge.

The team is also responsible for executing a number of internal functions including, regulatory reporting, CASS Governance, complaints oversight and other general Transfer Agency oversight activities supporting the firms outsourced operating model.

About the Role

The role will work closely with the Head of the Operations Oversight & Control and the other Operations Managers and their direct reports in delivering the teams processes and controls which will evolve to reflect the firms operating model and it’s selected outsourced provider.

Responsibilities

• Day to day management of the Operations oversight & Control team covering Transfer Agency Oversight activities.
• Oversee and manage the team in the execution of operations activities including, but not limited to:
• Daily investor & fund flow reporting
• General Transfer Agency oversight activities
• CASS oversight related activities including daily reconciliations, CMAR reporting, CASS breach oversight, MI reporting, CASS policy oversight
• Complaint handling & oversight – ensuring regulatory requirements are met in the management of client complaints.
• Preparation of regulatory returns related to activities completed by or overseen by the Operations team
• Oversight of retail client AML & KYC documentation and processing
• Reporting and management information
• Trend Analysis
• Other Operations related activity
• Support the team in the completion of other oversight checks on outsourced activities to ensure service delivery is maintained to agreed standards.
• Identify and deliver areas of training and development for team members
• Establish and maintain good working relationships within the team and with other departments. Promoting the profile of the Operations team within the business to deliver positive outcomes.
• Ensure that knowledge is maintained across within the team, with adequate training plans in place, taking the lead to ensure appropriate upskilling of all team members.
• Act as the initial escalation point for the team and other departments in the investigation and resolution of day-to-day operational queries, issues and incidents. Escalation to senior management as required any material concerns of significant incidents.

Qualifications

• Proven ability to lead an operations team and employ effective escalation
• Demonstrable technical knowledge across a range of investment instruments, fund types and products – experience of closed end funds and/or Lux funds beneficial
• Strong training skills, supporting team members with new, previously unseen complex queries
• Proven organisational skills can demonstrate ability to meet deadlines and undertake and manage multiple tasks.
• Transfer Agency Experience is essential for this role.
• Sponsorship is not available.

Required Skills

• Proven ability to lead an operations team and employ effective escalation
• Demonstrable technical knowledge across a range of investment instruments, fund types and products – experience of closed end funds and/or Lux funds beneficial
• Strong training skills, supporting team members with new, previously unseen complex queries
• Proven organisational skills can demonstrate ability to meet deadlines and undertake and manage multiple tasks.

Preferred Skills

• Transfer Agency Experience is essential for this role.
• Some supervisory or management is also essential

Sponsorship is not available.

Mid-Senior level

Full-time

Finance

Investment Management

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