Senior Administrator – Fund Services - JTC PLC
(2019-10)
- Execute and approve trades on a range of investment vehicles including ISAs, JISAs, and OEIC accounts, for both UK and Guernsey based funds, ensuring accuracy and regulatory compliance.
- Handle stock and ISA transfers with close attention to deadlines and fund provider requirements.
- Perform Quality Control (QC) checks on telephone-based trades to ensure procedures are adhered to.
- Conduct thorough AML/KYC checks for both retail & non-retail clients and also validate client identification using tools such as Mesh ID and Experian.
- Process new account openings, including reviewing and verifying application forms for completeness and accuracy.
- Maintain active communication with key vendors such as Puritas, AutoRek and fund custodians as well as Calastone & EMX to resolve queries and manage trade flow.
- Build and nurture strong relationships with clients and counterparties, serving as a reliable point of contact.
- Develop and document internal procedures to ensure consistency and improve operational efficiency.
- Create and check a variety of detailed reports such as transaction and holdings reports using Excel, supporting both internal teams and external stakeholders.
- Perform checking on redemption and trustee payments to make sure money is accounted for in banking systems.
- Reconcile bank accounts at the beginning and end of each working day.
- Monitor and manage multiple high-volume mailboxes simultaneously, prioritizing effectively and ensuring timely responses within SLA.
- Set up income distributions through to pay date and prepare tax vouchers in line with fund manager requirements.
Investor Services - Transfer Agency Oversight/ Fund Accountant - Neptune Investment Management
(2018-04 - 2019-10)
- Day to day oversight/monitoring of third party transfer agent queries such as large deals, stock transfers, coverall agreements, aged debtor reports, new accounts anti money laundering referrals and more.
- Manage relationships with outsourced Transfer Agency (SS&C).
- Downloading and putting together transaction and holdings reports on a weekly basis.
- Reviewing KPI's to make sure agreed standards are met.
- Reconciliations of investment funds on a daily basis to make sure all cash and stock has been accounted for.
- Creating and updating fund literature e.g. KIID Documents, Fund Factsheets, Application Forms.
- Call and letter monitoring of transfer agent to make sure standards are maintained at an acceptable level.
- Assist in all operational aspects of fund changes/launches/closures and ensure that service providers are fully informed and able to issue any necessary shareholder notifications.
- Reconciling money in and out of company accounts and making sure we adhere to CASS regulations.
- Initiate and attend meetings discussing where company or TA procedures can be improved to increase efficiency.
Transfer Agency Analyst – Fund Service Centre - Northern Trust
(2015-08 - 2018-03)
- Processing private client and institutional investor queries relating to OEICs, ISAs and Unit Trusts, in a timely, efficient, professional and courteous manner, delivering an excellent customer service experience.
- Providing information relating to transfers, registration amendments including AML, settlements, commissions, valuations, statements, deceased queries and distribution payments.
- Composing letters and emails to clients, in relation to the above queries, on behalf of 20 management companies.
- Placing deals received by phone, fax and by post.
- Providing cover to the Settlements and Registrations teams as needed, processing renunciation agreements and ensuring timely and accurate settlement payments.
Transfer Agency Contact Centre Associate - International Financial Data Services (IFDS) / SS&C
(2013-08 - 2015-07)
- Call centre adviser, speaking to members of the public, financial advisers and investment management companies. Answering and resolving caller enquires, relating to transactions, fund performance, settlements, valuations, transfers, distributions, commissions, statements and register changes.
- Handling new investment enquiries, relating to fund ranges and investment options (lump sum/regular).
- Processing client dealing instructions for OEICs, ISAs and investment trusts.
