Tail management Temp

JOB DESCRIPTION

NAME:  
DEPARTMENT:  On-Boarding
JOB TITLE:  On-Boarding Analyst – temporary assignment
CORPORATE TITLE:   n/a
EFFECTIVE DATE:  

TASKS AND RESPONSIBILITIES:

• Proactively monitor and manage the coordination of the end-to-end Off-Boarding processes for customers, non-customers and internal accounts
• Consolidate data and updates globally
• Create dashboard and send regular communication on status of tail management off-boarding progress
• Work closely with the project team to ensure progress update information is received in a timely manner
• Run queries and analyse data to track and monitor dormant accounts
• Ensure strong engagement and regular interaction with other departments who need to be informed of client closures (e.g. Business Lines, Risk, Financial Crime Prevention, Client Services, Business Data, Operations, etc.)
• Liaise with various departments, such as Legal, Compliance, Credit Risk and Operations to remove roadblocks impeding the off-boarding process
• Manage archiving in NCR and termination of documentation in CARE and client's folder once the off-boarding is complete
• Ensure the Off-Boarding process is followed within the appropriate regulatory framework, procedures and guidelines set out by Newedge UK and Group strategy
• Document the process flow and update procedural documentation as the process changes
• Identify and escalate to On-Boarding Management of bottlenecks which may cause delays
• Ensure physical documents in client folders are archived and added to the inventory tracking sheet

Operational Risk Regulatory Responsibility;
• Responsibility for ensuring that you are fully aware of and adhere to internal Policies that relate to you, your business or other businesses for which you have any level of responsibility.  It is your responsibility to ensure compliance with operational risk requirements (e.g. Golden rules, security policies and regulatory requirements). 
• Responsibility for managing, controlling, preparing and escalating risk within the scope of your position.
• Responsibility for reading, understanding and complying with the Company's Conduct and Standards and corresponding regulations. You will be notified of changes to policies in a timely manner through announcements and/or intranet updates.
• Act with integrity and due skill, care and diligence in carrying out your duties. Your actions should always be able to satisfy high standards of scrutiny.
• Observe proper standards of market conduct.  Responsibility to ensure that you take reasonable steps to be fully aware of, understand and comply with all regulatory requirements from all regulatory bodies that are applicable to your business.

SUPERVISION DUTIES:

n/a

SKILLS AND EXPERIENCE NEEDED:

Experience:
• Ability to facilitate the off-boarding of business
• Proven project management and analytical skills
• Ability to build and cultivate good working relationships with Business Lines and Support Areas

Skillset:
• Good organisational skills, ability to plan, allocate and evaluate work carried out both by self and others
• Proactive
• Diligent
• Strong attention to detail
• Persistent
• Ability to communicate precisely and effectively across multiple departments and multiple levels within the firm
• Ability to track and monitor data effectively
• Ability to present progress in a meaningful way
• Sees tasks through to completion - on target and on time
• Escalates when required
• Motivated, ambitious, positive attitude
• Practice Newedge Values and hold self and staff and accountable for demonstrating Newedge Capabilities

REQUIRED REGISTRATIONS:

N/A

POSITION WITHIN HIERARCHY:

Reports directly to Head of On-Boarding, EMEA

LEVEL OF AUTONOMY:

Low

DOES THE ROLE INVOLVE ANY OF THE FOLLOWING (include a brief description):

? Taking orders from customers:
? Yes No.
? Advising/recommending trades to customers:
? Yes No.
? Some discretion when filling customer orders:
? Yes No.
? Discretionary trading on behalf of a customer (filling orders)
? Yes No.
? Dealing with Private Customers
? Yes No.
? Issuing documentation to customers (reports, confirmations, statements, agreements, etc)
? Yes No.
? Controlling client assets (e.g. money or securities)
? Yes No.

MAINTENANCE:

The job description will be maintained by the Head of On-Boarding, EMEA
 

See Job Description

July 26, 2013 • Tags: , • Posted in: Financial

Leave a Reply

You must be logged in to post a comment.