Operations Analyst Private Wealth

Location: Halesowen

Key Responsibilities Monitoring, validating and recording new portfolios and client amendments. Processing closed accounts, and Loss of Contact clients including static data amendments and reporting. Produce regular reporting such as Contract Notes, Assisting with quarterly fee and valuation production, maintaining reconciliations, and answering queries. Reviewing returned post and Loss of Contact clients. Processing service switches and deceased. Ensure all team queries and tasks are dealt with in a positive and timely manner.

Creation and maintenance of records in the securities data base. Maintain Product Governance and Consumer Duty processes and MI. Assist in ad-hoc projects and tasks as they fall due. Provide guidance to the Investment Management and Investment Operations Departments in relation to company policies and procedures regarding maintaining client data, securities date, quarterly reporting and fee production. Client Service and Relationships Knows the principles/tools of excellent client service and company standards required in their role.

Maintains a strong focus on delivering best outcomes for clients. Able to always conduct themselves in a professional manner. Promotes engagement across the team and wider business by contributing to team discussions and attending and engaging in networking events. Experience & Qualifications Investment Operations Certificate:
Preferred to evidence the individual knowledge of the whole industry and dedication to their own career. Internal Regulatory

Competency:

In the absence of the IOC individuals can complete the internal competency exam to show the required level of understanding of regulation, process and risk requirements.

Experience:

2 years in operations within the financial services industry preferred. Regulatory Knowledge: A high-level understanding of industry regulations including, but not limited to, CASS, MiFID II, COBS, and Consumer Duty.