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Lead Associate - Asset Transfers

Division Winterflood
Location London
Salary Competitive
Mergefield Title {Mergefield Value}

This is a {Advertised Permanent / Temporary}, {Advertised Full Time / Part Time} vacancy that will close in {x} days at {xx:xx} BST.

The Vacancy

 

The Lead Associate - Asset Transfers will assist the Deputy Head of WBS Operations and wider Asset Servicing team in the administration and processing of client requests to transfer assets or money to or from the firm, this is to be done whilst adhering to regulatory & product specific requirements, control the administrative duties that form these areas, to ensure the service meets regulatory requirements inclusive of KYC, AML, CASS rules. 

 

Responsibilities

 

  • Work closely with clients to understand their transfer needs, providing solutions and ensuring their expectations are met or exceeded. Keep clients informed with regular updates throughout the asset transfer process, promptly addressing any queries or concerns they may have
  • Manage the day-to-day activities of the Transfers team, ensuring a smooth transfer of assets in a timely, accurate, and compliant manner
  • Ensure stock withdrawal and deposits from to/from certificates are correctly managed and in line with CASS rules
  • Monitor and ensure all asset transfers adhere to internal and external policies, Service Level Agreements, regulatory requirements and best practices
  • Ensure the production of any forms required relating to the transfer of assets or cash and the tracking of all open transfer instructions
  • Utilise management information to track, analyse and report on transfer activities, identifying trends and opportunities for improvement
  • Prepare and present regular reports to senior management, providing insightful analysis and recommendations for enhancing the asset transfer process
  • Develop, maintain and enforce procedures to ensure a standardised approach to all processes and controls, including contingency plans to manage discrepancies or issues that may arise during the transfer process. Conduct post-issue analysis to identify and address the root cause
  • Provide leadership, training, and guidance to the team, promoting a culture of continuous learning, improvement, and client-centricity. Foster a collaborative environment, encouraging the sharing of best practices and knowledge among team members
  • Evaluate and enhance existing asset transfer processes, controls and systems to ensure optimal efficiency, accuracy, and client satisfaction. Collaborate with other departments and stakeholders to streamline asset transfer processes and improve the overall client experience
  • Work in conjunction with the Compliance, Risk and Audit functions to ensure all asset transfer activities are conducted within the regulatory framework. Proactively identify, assess and mitigate risks associated with asset transfers, taking prompt corrective actions when necessary

 

Required Skills & Experience 

 

  • 2 years+ experience working in Asset Transfers (both domestic and foreign) with an existing understanding of the settlement cycle and how this is impacted by corporate events 
  • Exposure to multi asset class transfers
  • Experience of the CREST GUI system
  • Exposure to Altus
  • Experience of cross border and international transfers
  • Understanding/exposure to voluntary & mandatory corporate action events (desired)
  • Working knowledge of the regulatory frameworks and requirements that apply to the business, including the CASS rules when managing client’s money or assets
  • Strong Excel knowledge
  • Ability to focus and commit to delivering against deadlines
  • Effective and proficient communication and written skills
  • Ability to maintain a strong risk management and control framework within an asset transfers environment, inclusive of the ability to identify, assess, mitigate, and monitor risks and the offsetting controls

 

Benefits 

 

  • Competitive salary inclusive of discretionary annual bonus & annual pay review
  • Work Abroad Policy for up to 15 days per year
  • 25 days holiday plus bank holidays and additional well-being day
  • Option to purchase an additional 5 days holiday per year
  • Flexible working options available, including hybrid working 
  • Pension scheme up to 10% employer contribution
  • Sharesave scheme
  • Income Protection & Life insurance (4 x salary core level of cover)
  • Private health care via BUPA
  • Employee Assistance Programme
  • Discounted Gym Membership
  • Variety of travel to work schemes

 

At Close Brothers we look to recruit individuals from all different backgrounds and encourage you to apply even if you don’t tick every box. We celebrate diversity, promote inclusivity and are open to discuss flexible work options to help you balance your work and home life.

We appreciate that from time to time, recruitment agencies will have speculative CVs that they may wish to submit to our Talent Acquisition team in relation to a specific role.

To avoid any ambiguity around fees, please note that speculative CVs received by Close Brothers, that have not been authorised in advance, by us, will be ineligible for an agency fee. Thank you.

The Company

Winterflood Business Services (WBS) is a business to business (B2B) platform provider whose award-winning service has seen us grow to over £15bn AUA with an expanding client list. Our highly skilled and experienced team is dedicated to providing the standards our clients rightly demand.

Our aim is to help solve client problems and ease their regulatory and administrative burden with secure, integrated, and bespoke end-to-end solutions to achieve their investment objectives. Execution quality and excellent service are at the core of our business, all set out in our service level agreements for full transparency.

The WBS service is provided through our EOS platform, which is a proprietary system developed by our in-house development team. EOS is built using the latest technologies and is based on micro-service architecture, making the platform easy to scale and deploy new functionality. We are also market innovators, capable of recognising unfilled needs and developing products to suit our customers’ needs and changing regulatory requirements.

We became a separate division of Winterflood Securities in 2010, in response to demand from clients who were looking for ‘whole of market access and ‘custody services’. Our strategy remains to continue to invest in people, process, and technology to allow us to scale for the growth in our existing business, as well as taking on new clients

Inclusion

The Benefits

Private medical

Discounted health checks

Stakeholder pension contribution

Gym discounts

Cycle to work scheme

Save As You Earn scheme

Purchase additional holiday

Charity & Sustainable work

At Close Brothers, we are dedicated to helping the charities that matter most to our employees. Our donations continue to increase year on year thanks to our fundraising efforts and matched giving schemes to our employees’ favourite charities. We continue to seek out new ways to give as a group and to help employees who give their valuable time and money to causes close to them.

To find out more detail please follow the link below:

https://www.closebrothers.com/charity.

Sustainability is fundamental to our purpose, and we recognise that to help the people and businesses of Britain thrive over the long term, we also have a responsibility to help address the social, economic, and environmental challenges facing our business, employees, and customers, now and into the future.

To find out more detail please follow the link below:

https://www.closebrothers.com/sustainability.

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