puestos de Quality Assurance en Gran Bretaña

Role Description

The Transfer Agency Officer - Entry is required to assist the Transfer Agency Officer and Managers to handle or smoothen the daily operational tasks of a designated Functional Area and its associated operations team; accountable for the service of their team to our clients and their underlying investors on behalf of FNZ.

This means the following key requirements:

• The role holder will be accountable for aspects of day-to-day TA Processes, regulatory, and financial risk relevant to their team and for processes that fall within their functional area.
• The role holder will be accountable for change within their functional area, ensuring an effective change process from delivery through to implementation in accordance with FNZ Compliance standards.
• The role holder will be responsible for ensuring the delivery of services to our corporate clients, ensuring accuracy, compliance, and achievement of service standards in accordance with clients’ and internal KPIs.

FNZTA looks after the Legal Fund Registers on behalf of our client; it is not a custodian. This means no assets are held in our name as nominee.

Specific Role Responsibilities

Support

• Support the Operations Executives, Operations Manager, or the Team Lead in the daily running of operational teams and processes.
• Ensure smooth execution of day-to-day operations.
• Deal with stakeholders and clients on business needs and system enhancements as required.
• Collaborate with team members on business needs and perform QC on UAT for all system enhancements.
• Ensure all periodic reporting required by clients is completed accurately and submissions are timely.
• Support and contribute to the delivery of technology solutions that meet the objectives of the business while allowing the firm to be scalable, productive, and compliant for future changes, upgrades, and enhancements.

Process

• Ensure the functional area’s resilience within the first line of defense; deliver reporting to the relevant Sector Lead to evidence standards achieved.
• Familiarize and assist in the error management process, including major errors, escalation, analysis, and reporting to the Head of Operations.
• Assist in the delivery of KPI/KRI’s in relation to customer contractual terms, taking action to prevent failure through control and oversight of the activities completed by the functional area under the role holder’s remit; deliver reporting/evidence to the Sector Lead to evidence standards achieved.
• Support and contribute to the delivery of the Operational Transformation Programme (or any other continuous improvement programme), ensuring delivery and milestone completion for the relevant operations area.
• Support the management of the functional area’s risk management, covering Control Attestation, Risk Event and Breach Reporting; ensure accurate and timely reporting with a focus on prevention; deliver reporting/evidence to the Sector Lead to evidence standards achieved.
• Ensure appropriate engagement for Audits, Client visits, or any material meetings or engagements.
• Support the implementation and maintenance of operational controls within the functional area to reduce errors and mitigate potential fraud; deliver reporting/evidence to the Sector Lead to evidence standards achieved.

The Employee’s other responsibilities may include any other duties that the Company reasonably requires the Employee to do. The Company may change the Employee’s duties from time to time to reflect the changing requirements of the position and the Company’s business.

Experience Required

Required Knowledge & Skills

• A degree or equivalent in finance, business, or a numerate discipline.
• Operations experience within the Wealth Management/Platform industry.
• Experience in client services.
• Experience in using Excel for data analysis.
• The ability to work accurately and to deadlines.
• Excellent interpersonal and communication skills.

Preferred Knowledge & Skills

• Proposition knowledge of the platform industry, from Retail Client to Asset Servicing delivery.
• Technical operational knowledge relative to the team under the role holder’s remit.
• Change management experience.
• Understanding of risk/compliance policies and processes for a financial services business.
• Able to demonstrate understanding of regulations that apply within the region.

About FNZ

FNZ is committed to opening up wealth so that everyone, everywhere can invest in their future on their terms. We know the foundation to do that already exists in the wealth management industry, but complexity holds firms back. We created wealth’s growth platform to help. We provide a global, end-to-end wealth management platform that integrates modern technology with business and investment operations, all in a regulated financial institution.

We partner with over 650 financial institutions and 12,000 wealth managers, with US$1.5 trillion in assets under administration (AUA). Together with our customers, we help over 20 million people from all wealth segments to invest in their future.