Asset Management TA Oversight, Senior Associate

Job responsibilities:

Client Service & TA Oversight

• Provide client service oversight, including monitoring client trends, particularly those indicating signs of vulnerability, issue management, post‑call surveys, and referrals of queries outside TA responsibility (e.g., historic events, performance queries, authority to deal cases), ensuring prompt follow‑up and minimal client impact.
• Prioritise client experience and demonstrate good outcomes, placing Consumer Duty at the heart of decision‑making.
• Oversight of typical TA responsibilities – including Dealing, Cashflow monitoring and escalation with relevant investment desks around any issues, Settlements, Registrations, Rebate Processing, AML, Tax Reporting.

• Oversee and manage the TA to ensure high‑quality service delivery through KPIs, SLAs and compliance with contractual obligations. Fostering a collaborative partnership built on mutual trust and transparency.
• Conduct regular in‑person site visits with TA and other vendors as required (e.g., Dealing STP providers, Print & Tracing Vendors etc.) to maintain oversight, leverage relationships and act as delivery manager.
• Build relationships with peers of the appointed TA and attend multi‑client forums and committees.

• Lead and manage change initiatives, including holistic client service improvements, process simplification and regulatory projects such as Accelerated Settlement.

• Oversee complaints, chair the monthly European Complaints Forum, review trends, collaborate with TA on prevention, engage with FOS, manage complex complaints, ex‑gratia payments and ensure FCA reporting is completed.

• Analyse errors and breaches, understand TA control failures and explore preventative actions both within TA and internally.
• Identify, act on and minimise risks within the business.
• Monitor Key Performance Indicators (KPIs), ensuring timely and appropriate escalation of any trends or performance issues.

• Represent UK TA Oversight within Asset Management Governance forums and produce relevant reporting.
• Act as Subject Matter Expert and manager for Client Communications, collaborating with Product Development and wider EMEA teams to coordinate fund activity, EGMs and other key client engagement initiatives.

• Client focus – Essential to demonstrate a client centric mindset with a strong commitment to integrity, delivery and responsibility.
• Relationship management – Ability to build and maintain partnerships with key external and internal stakeholders, including product development, operations, investment desks, compliance, risk, tax, internal and external audit functions alongside multiple third‑party vendors who support the UK Funds business.
• Communication, influencing and interpersonal skills – Excellent written and verbal communication skills with an ability to articulate complex ideas, concepts and solutions clearly and appropriately for the audience.
• Ownership and Continuous Improvement – Self‑motivated and a strong collaborator, demonstrating a keen sense of ownership and continuous improvement mindset.
• Attention to Detail and Organization – Must possess keen attention to detail and excellent organisational skills.
• Time Management – Ability to prioritise tasks and manage time effectively to meet deadlines and service standards.
• Adaptability – Flexibility to adjust to changing client needs and evolving industry trends.