UK Regulatory Operations Manager
SEI is regulated in the UK by the FSA and as such, is committed to compliance to the FSA regulatory regime on its own behalf and for those services which we provide to our clients.
SEI has created a suite of services to assist our clients (e.g wealth asset management firms and banks/professional investment firms) in their business, including order management trading activities, middle office solutions, accounting transaction processing related activities. As an outsourced investment process provider we have the post trade responsibility of looking after the full trade lifecycle of our clients associated regulatory practices as applicable to the service or the regime obligations .
Operations Regulatory Quality Control (ORQC) ensures the operational aspects for this purpose meet the standard expected to comply with our regulatory obligations, this extends to the full suite of services and end-to-end processing for all functions in the operations department and interdependent activities that impact these functions.
This role will ensure that the regulatory operations delivery within SEI for the BAU process is delivered and monitored, including ensuring that quality assessment controls are correctly followed adhered to in order to maintain regulatory business obligations under the FSA regime or relevant regime as the business grows.
KEY OBJECTIVES OF THE ROLE:
The UK Regulatory Operations analyst reports to the Head of UK Regulatory Operations, they will be responsible for delivering BAU process for the regulatory operations functions that arise as a result of areas such as transaction reporting client money assets regimes.
In addition to the BAU business activities, the UK Regulatory Operations analyst may also provide industry business expertise to assist on projects initiatives which impact Operations.
The UK Regulatory Operations analyst will manage deliver an exception performance in the daily operation of regulatory activities in, ensuring performance is consistently achieved in line with standard supported KPI’s.
RESPONSIBILITIES:
• The UK Regulatory Operations analyst is accountable for the successful delivery of regulatory operations activities and the management of the associated work queues, practices and processes utilised by SEI to deliver the BAU processes.
• Continued adherence delivery of Regulatory Operations practices and will work in partnership with other teams to ensure successful delivery of all BAU processes/projects.
KEY RESPONSIBILITIES:
• Perform UK Regulatory Operations BAU functions within SEI and ensure that activities are in line with standard service offerings meet key Operations objective – scalability, stability, Regulatory compliance, meets client demand etc
• Ensure Ops management is informed of the performance of the BAU activities for regulatory operations performance utilising a dashboard communication process.
OTHER:
• Keep Current – (market conditions, regulation, SEI products and services, etc) and maintain ongoing and effective communication and alignment of these with client business practices.
• Maintenance and updating of internal systems/ data reference points in agreed format to ensure consistency and communication of relevant information within the team and ensure integrity of data.
• Proficient IT skills – including intermediate excel and databases.
• Strong dedication to quality customer service
• Excellent verbal and written communication skills
• Exceptional interpersonal skills/team player
• Ability to handle multiple tasks under pressure
• Ability to work in a busy and changing environment
• Excellent organisational and problem solving skills
• Strong interpersonal, influencing and negotiation skills
• Any other ad-hoc projects as required.
BEST PRACTICE:
• Adhere to all relevant FSA requirements and compliance.
TECHNICAL CAPABILITIES/SKILLS EXPERIENCE REQUIRED FOR THE ROLE:
• Degree calibre with credible regulatory experience from an Investment Banking, wealth management and private banking industry background. This should include a working knowledge of the FSA regime for client assets transaction reporting as a minimum, industry dynamics, business strategies, products and operating platforms.
• Experience in regulatory operational functions, preferably transaction reporting CASS operational experience.
• Ability to work under pressure in a high volume/intensive operations function.
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