Our client is seeking a Securities and Compliance Officer to support a busy portfolio management team on a part or full-time basis. The successful candidate will provide crucial administrative support, ensuring the accurate and timely processing of operations and customer service requests in compliance with contractual and regulatory timescales. The role involves working independently with a focus on continuous improvement, managing stakeholder relationships, and ensuring that internal controls and regulatory standards are met. Click here to read more
Job Duties:
- Support the portfolio management team with administration and customer service requests
- Ensure accurate and timely processing of client requests within contractual and regulatory deadlines
- Collaborate with the Portfolio Management Team and other departments to ensure efficient delivery of services
- Manage the company’s Business Continuity Plan, including incident management and testing
- Act as Secretary to the Investment Committee
- Mentor and provide training to support staff on processes and procedures
- Regularly review internal controls and company procedures, implementing improvements as required
- Manage outsourcing arrangements, including reviews of custodians, brokers, and bankers
- Monitor and respond to client queries and incoming communications promptly
- Oversee securities and cash positions, performing reconciliations as required
- Manage tax reporting processes, including ERI and FATCA/CRS reporting
- Prepare management information and investment presentations for stakeholders
- Prepare and distribute quarterly client report packs, including performance calculations and commentary
- Ensure timely completion of client withdrawals and manage client money accounts
- Monitor the use of the Online Service Centre, handling client communications and enquiries
- Manage client onboarding, including AML/KYC checks and account opening
- Conduct regular client due diligence reviews and ensure documentation is up-to-date
- Participate in projects, system development, and testing, ensuring updated operational procedures
Job Requirements:
- Minimum of 5 years’ experience in financial services, with a preference for experience in the securities industry
- Experience in investment or international banking administration is desirable
- Familiarity with managing client due diligence processes, AML, and KYC compliance
- Strong Microsoft Office skills, particularly Excel, Word, and PowerPoint
- Excellent attention to detail, time management, and organisational skills
- Ability to manage multiple tasks in a deadline-driven environment
- Strong communication and problem-solving skills, with a client-focused approach
- Experience in line management is desirable
- Tech-savvy and adaptable, with a willingness to learn and work with proprietary systems
What You’ll Love:
In this dynamic role, you’ll have the opportunity to work within a collaborative and supportive team, driving continuous improvement and ensuring compliance with regulatory standards. You’ll contribute to the smooth running of the portfolio management operations and develop your skills in a fast-paced environment. We look forward to receiving your application and discussing how you can contribute to our client’s success.
Interested? Register today, confidentially, with one of our friendly and dedicated recruitment specialists by clicking here
