Duties & Responsibilities
 

·         Performing compliant internal and external client money reconciliations

·         Perform complaint External custody reconciliations

·         Pro-active monitoring of investment operational processes focussing on one or more of the following :

·         Trading (funds, equities, structured products)

·         Distributions

·         Asset price feeds

·         Ownership and resolution of specific issues identified by monitoring. Understand causes of failures and identify areas of weakness while working with the various business areas and/or third parties to resolve them and mitigate the risk of them reoccurring.

·         Calculation of customer remediation for large scale and bulk errors to understand the extent to which customer investments have been negatively impacted.

·         Support the CASS Manager to ensure that best practice is maintained across any service providers.

·         To monitor processes, manage risks & assess effectiveness of controls through KPI monitoring, operational effectiveness testing and development of action plans to address any control weaknesses.

Skills & Experience Required
 

·         Knowledge of the CASS requirements and standards and the implications of these on both our client and its customers.

·         Skilled in working with large volumes of data and using that data to accurately identify and resolve risk issues.

·         Relationship management and influencing skills both internally within the team and externally with 3rd party suppliers

·         Experience of risk management and process monitoring preferably with a focus on an investment platform environment

·         Experience of or qualifications to evidence strong knowledge or reconciliation activity for client money and client assets.

·         Clear understanding of the business areas key processes, controls and risks and the relevance of these on your role.

·         CISI Investment Operations Certificate or equivalent.