FNZ TA Services Limited undertakes the role as transfer agent for multiple Authorised Corporate Directors for both Institutional and Retail investors across locations
Investor On-boarding (setting up new clients on the system, includes KYC etc.).
Dealing (instructions received via various means to buy/sell funds).
Box Management (process of managing the movements in/out of funds).
Stock Transfers (instructions received via various means to move units between holders).
ISA Transfers Cash and In-specie (in and out to and from external providers).
Corporate actions (not sure if this falls under system changes) e.g. AMC reduction & Fund Mergers
Settlement (process of moving money for buys and sell of funds).
Distributions (calculation of interest (cash/units) received during fund period).
Monthly Transactions and Holdings Reporting (issuance of clients statements & transactions).
Enquires both written and verbal
Register Maintenance including deceased process
All Output for all investors i.e. contract notes, tax vouchers, statements as well as ad-hoc
HMRC, IA, CMAR etc. preparation of reporting for ACD's
System, client and regulation change/s
This role is/will be part of the UKTA services team, which is currently made up of 3 individuals – The Operations is made up of the following Department s -Dealing, Box, Registration, Cash, Reconciliations, Distributions, Reporting and Business Readiness. The role-holder will be able to lead, manage team and provide support to the team members including external parties as well as having an understanding of the governing FCA rules – in particular COBS, COLL and CASS and will demonstrate an understanding as part of their role. There will be the opportunity to be involved in future on-boarding projects as well as change within the company
Monitor and support all Tasks/Functions including emails/telephone calls and outbound correspondence to ensure they are completed correctly and within timeframes, KPI's (Key performance Indicators, SLA (Service Level Agreements) and Regulatory rules including CASS
Maintain Green KPi's across all ACD's
Ensure team members are following and maintaining updates procedures (including version control), evidence where applicable and signing off checklists including your final sign off at all times to eliminate risk events, reputational impact and financial loss. Identify any key trends i.e. training and/or procedure updates. Spot check preventative actions are maintained.
Feedback to team members, monitor and track all risk events and near misses to ensure preventative actions presented, introduced and maintained whilst as well as identifying any key trends
Make sure that your team members and you Consider the end investors at all times i.e. Client Service, TCF (treating customers fairly and Vulnerable investors
Encourage pro-active support of colleagues both within and/ or outside of your current department and role including third parties
Attend and/or support Client service review meetings/workshops as requested – review and input into the monthly ACD service packs including Taking Minutes/Actions/Records
You and you are team are Accountable/Responsible for all actions which are undertake and errors
Support and sponsor/recognise SME's (Subject matter expert) across TA (Transfer Agency) – Support, coach and train others including knowledge sharing as requested including being able to support i.e. ACD, Compliance and Audit reviews
Ensure all questions and concerns however small are addressed where required including Escalate to all management levels where applicable
Ensure your team members Take note of all changes including i.e. systems, processes, procedures, checklists and regulatory – this includes training and procedures being delivered
Your team and you need to keep up to date with the financial industry i.e. TA forum website, news feeds and internal communications
Your team and you need to make sure Mandatory training and test to be completed within set timeline
Attend and Support ACD, Compliance and Audit reviews/visits etc.
Ad hoc tasks/projects where directed which will also require your management and support of i.e. workshops on the end to end of the change and system testing
Lead, manage and performance manager your team members including following managers best practice
Encourage your team members and you to put forward/present idea's, solutions and risks–support/take ownership and track through to resolution
Budgets tracking resource, financial impact of errors and change implementation
Role model/lead by example
Ensure you and team members maintain a positive attitude and develop your teams and your own personal skill sets i.e. encouragement. Communication, coaching and training courses available
Pass all 3 IOC's within 2 years of commencing into this Managers role, tracking of CPD on a monthly basis
Manage and motivate a team
Ability to work to daily deadlines.
Working knowledge of excel.
Attention to detail.
Attained modules in the IOC ("Investments Operations Certificate").
Pro-active individual who can challenge processes and recommend improvements.
Experience of managing within a dealing and Box Mgmt role
FNZ is the market leading provider of technology and administration services to major financial institutions in the platform and wealth management sectors across the globe. We partner with life companies, banks, asset managers and discretionary wealth managers to enable them to develop and distribute financial products and services to their customers across all major distribution channels.
Read our Employee Value Proposition.
Find out more about FNZ by following our social channels: Youtube, LinkedIn, Facebook, Twitter, and hear what our staff have to say about working at FNZ on Glassdoor.
Why join the FNZ journey?
FNZ is a global FinTech firm, transforming the way financial institutions serve their wealth management customers. We partner with banks, insurers and asset managers to help people achieve their financial goals through our unique combination of technology leadership, innovation and asset servicing.
Our services enable our clients to provide best-in-class wealth management solutions to financial advisers, end-investors and the workplace. We pride ourselves on creating solutions that are flexible, transparent and scalable, reflecting the latest market, demographic and regulatory trends worldwide.
FNZ has experienced exceptional growth in the past decade, both in terms of assets-under-administration and also through the substantial expansion of our international footprint.
Today, we are responsible for over £400 billion in assets-under-administration, held by around seven million customers of some of the world's largest financial institutions, including Standard Life Aberdeen, Barclays, Lloyds Banking Group, Aviva, Quilter, HSBC, Santander, Vanguard, Generali, Zurich, UOB, UBS, National Australia Bank and BNZ.
In total, we partner with over 60 financial institutions globally and employ over 2,000 people in the United Kingdom, Australia, New Zealand, Germany, China, Singapore, Hong Kong and the Czech Republic.
The company is owned by a combination of CDPQ-Generation, the unique sustainable equity partnership and FNZ employee shareholders.
At FNZ, we recognise that diversity, inclusion, and accessibility are important factors for our success. We embrace the unique perspective and capabilities of our current and future employees, which will help us continue to drive innovation and achieve our business goals. Recruitment decisions at FNZ are made in a non-discriminatory manner where all employees are valued and respected. We want to ensure accessibility needs are well supported thus, ensuring our recruitment process is fair and equitable for all applicants. Please let us know if there is any support, we can provide to ensure FNZ's recruitment process is fully accessible to you. You can contact us at firstname.lastname@example.org to discuss specific requirements.