Retail Investments Operations Team Manager / OEIC / Unit Trust / SIPP / VCT / EIS / CASS recruitment

*** Retail Investments Operations Team Manager / OEIC / Unit Trust / SIPP / VCT / EIS / CASS ***

The Company

Fast-paced and entrepreneurial asset manager offering phenomenal career opportunities.

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The Role

Working with the Head of Operations to deliver on all strategic and tactical objectives for the Operations department. 

Help deliver on the development and wellbeing of the staff within Operations

Ensure that they work with the highest levels of personal and professional integrity and that the business ethos of providing exceptional customer service underpins everything that they do. 

Ensure a high level of knowledge personally and across the team on all regulatory and business requirements including CASS and TCF.

Help to set and deliver the strategy for the continuous improvement of the Operations department

Ensure that the team has a detailed knowledge of CASS through internal and external training

Ensure that all Product Operations procedures are documented and adhered to 

Ensure that the team has a detailed knowledge of RDR through internal training

Ensure that all the teams processes are RDR ready

Managing internal and external relationships 

Oversight of the share allotment processes as per the CASS rules

Approve all payments up to authorised limits within agreed timeframes as per the CASS procedures

Provide feedback into the product design and implementation process to ensure Product Operations are able to deliver on all new and existing products

Have oversight of the daily cash and monthly stock reconciliation for assigned products as per our CASS procedures

Ensure the team are setting up clients in line with KYC AML regulations - suitable controls in place via the procedure documents

Deal with all escalated queries in the best interests of the client with particular emphasis on TCF

Ensure the team are processing registration withdrawal instructions as per CASS rules

Ensure that the team are logging errors and breaches in line with FSA guidelines

Provide high quality reporting to the SMT and Board on all Operational matters

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People / Team Management

Help to coach, train, develop, mentor and counsel the team to ensure that it is a happy and thriving place to work

Supporting team members and driving their personal development through:
- Fortnightly progress and development meetings
- Monthly review of targets and objectives
- Planning for growth and ongoing change

Setting tangible objectives and targets for direct reports

Work with the Head of Ops to manage resource effectively and plan for demanding business periods

Ensure that the team is staffed with highly competent people that understand their regulatory, corporate and personal responsibilities to their clients and colleagues

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Skills / Experience

Strategic delivery of a future state Operations department that is scalable for the long terms challenges and opportunities ahead 

Demonstrate a strong industry and business understanding and experience of dealing with compliance including CASS, AML, Data Protection and TCF rules

Ability to communicate complex investment processes at all levels of the business in a simple and easy to understand way

Has the ability to respond quickly to changing work demands

Seeks knowledge, development opportunities and feedback and provides these same opportunities for their teams.

Customer Obsession - acts in a mature and considerate manner and demonstrates the highest standards of personal and professional integrity. Demonstrates empathy for others.