Client Support Executive
Client Support Executive - Complaints (Job Number: 1315647)
Description
Business Description
The Transfer Agency (TA) division is responsible for providing the services and administration outlined in Client Service Level Agreements, within agreed parameters and applicable regulations and corporate policy. The main functions administered are to effect the dealing instructions on behalf of investors for the products outsourced by our management companies, to ensure an accurate register, and provide all necessary oversight and control services associated with these products.
The departments within TA include: Treasury (Reconciliations Settlements); Distributions Statements and Mailings; Business Change; Communications Centre; Servicing; Business Oversight; Register Servicing, Broker Admin and Transaction Control; Service Delivery; Dealing and Box Management; Management Accounts; Business Recovery; Financial Crime and AML; Middle Office; DC Pensions; Client Service Centre; and Document Management Centre.
Team Description
CSC Complaints Department is responsible for investigation and resolution of investor complaints for all Transfer Agency client companies across UK , Luxembourg , Guernsey and Jersey jurisdictions and Brentwood, Edinburgh and Pune functions. The primary goal is to achieve clear outcomes and deliver exceptional client service for investors while ensuring a culture of continuous improvement through root cause analysis .
Job Purpose:
Ensure all complaints are handled in line with the internal complaints procedures and in compliance with FSA guidelines
Principal Responsibilities:
Provide a high quality of response, ensuring all complaints are dealt with in a fair, equitable and consistent manner
Ensure complaints are dealt with efficiently and at the earliest opportunity to ensure an early resolution.
Maintain the organisation and filing of ongoing complaints ensuring case notes are up to date and complaints can be easily located
Liase with other departments and Management Companies to ensure all complaints are responded to in full and all outstanding issues resolved.
Provide reports as and when required, identifying trends in complaints and any weaknesses in procedures
Maintain accurate data for all client complaints on all databases and regularly update personal workload
Read and respond where necessary to internal communications
Take responsibility for developing own skills, knowledge and understanding of products, procedures and the wider business environment.
Comply with all corporate policies and procedures within the department
Alert management immediately of any significant changes to business risks and internal controls effectiveness.
Notify management and/or Compliance immediately of any regulatory breach.
Comply with health and safety policies and procedures operating within the business.
Demonstrate the shared values of the organisation (Client Focus, Trust, Teamwork and Outperformance) and the application of TCF.
Demonstrate personal responsibility for escalating and resolving concerns/incidents in line with TA Escalation Guidelines and TA Incident Escalation and Management process.
Qualifications
Person specification:
Global Competencies (1)
In addition to the core competencies of Communication Skills, Decision-making and Accountability, Flexibility and Adaptability and Managing Risk the associate should show an aptitude for:
Enhancing Organisational Talent
Embracing Change
Client Orientation
Developing Partnerships
Driving for Results
Decision Making
Global Awareness
Primary Location: Edinburgh, Lothian Region, GB
Internal Jobcode: 50653
Job: Asset Servicing
Organization: Global Client Service Delivery-HR06406
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