Operations Manager - Transfer Agency - Dealing & Box Management Team - BPO

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