Day to day management of Dealing and Box Management team, ensuring the tasks are carried out as prescribed and within regulatory guidelines, namely:
- Telephone, fax, e-mail, postal instructions to purchase or redeem units/shares in Unit Trusts or OEICS.
- PEP and ISA sales and repurchases and transfers-in and out.
- Update and maintain electronic trade and confirmation systems.
- Vetting, creating and checking of investors applications.
- Processing of investors dealing instructions.
- For Registrations / Settlement Administration
- Maintain department procedures in accordance with regulatory requirements, SLAs, best practice and Company policies
- Provide a contact point and/or assistance with queries from Clients, Investors/IFAs and key contacts
- Identify instances of non-compliance and refer to the Senior Manager, Director of Retail Operations and the Compliance Department, and resolve them
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