TA Team Mgr Job
TA Team Mgr (Job Number: 1314208)
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; AML and Financial Crime; Middle Office; DC Pensions; Client Service Centre; and Document Management Centre.
Team Description
This team is responsible for AML (Anti Money Laundering) verification and controls and the management and prevention of Financial Crime. The team would follow up with clients and chase management company referrals. Regular monitoring and reporting is also the responsibility of this team.
Job Purpose:
Management of all processes, projects and staff in the AML/Financial Crime team.
Development of BAU procedures and controls to mitigate risk and drive efficiency.
Principal Responsibilities:
Keep up to date with corporate and regulatory requirements.
Supervision and day to day running of the Team.
Ensure all tasks are completed within relevant time-scales and to required standard.
Continuous review of processes and procedures to identify weaknesses and opportunities to enhance controls, including ownership of actions required as a result of audits or other reviews.
Day to day staff management, including PMP appraisal completion and meetings.
Implementation of formal cross training plans and competencies.
Maintain up-to-date knowledge of financial services and specific knowledge of legislation and regulations.
Adhoc project work/activities and monitoring.
Comply with all corporate policies and procedures within the department.
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.
Staff Management
Implement, apply and role model the people management activities described in the Global Operations Best Practices Guide For Managers.
Day to day management of a department.
Maintain and regularly review issues and action lists for direct reports through monthly one-to-one meetings.
Develop and maintain positive working relationships with colleagues, external parties and staff in other departments through effective communication.
Maintain and develop staff morale.
Ensure Training Plans are in place (including the Learning Wheel).
Personal Development
Keep up to date with corporate and regulatory requirements.
Develop and demonstrate effective management and motivational skills.
Maintain up to date knowledge of financial services and specific knowledge of legislation and regulations.
Undertake ad-hoc tasks; carry out duties including deputising, projects and delegated responsibilities.
Process Management (day to day)
Continually look for re-engineering and process improvement opportunities at a process, client or industry level.
Support their Line Managers in representing the department during visits of compliance officers, auditors, Trustees Depositories, and management companies.
The role may include travel to other UK or offshore locations.
The job holder will also be expected to participate in various projects affecting the department and to deputise for the manager as necessary.
Qualifications
Person specification:
Global Competencies (2)
In addition to the core competencies of Communication Skills, Decision-making and Accountability, Flexibility and Adaptability and Managing Risk the job holder should show an aptitude for:
Building Organisational Talent
Change Leadership
Client Orientation
Developing Partnerships
Driving Execution
Operational Decision Making
Global Acumen
Technical Skills, Knowledge, Systems Knowledge (and associated skill level)
Knowledge of Financial Crime requirements (FSA, JMLSG) including AML and Fraud and sector specific requirements.
Detailed knowledge of TA products, administration and relationship management.
Good knowledge of products administered ISAs, PEPs, Unit Trusts and OEICs (products and rules).
Academic / Professional Qualifications (or equivalent qualifiers)
2.2 Degree or qualified by experience (minimum 5 years in a Financial Crime role)
Primary Location: Edinburgh, Lothian Region, GB
Internal Jobcode: 50725
Job: Asset Servicing
Organization: EMEA Asset Svcg-HR06400
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