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Senior Analyst, Financial OperationsTransfer Agency

📁
Accounting Portfolio / Fund
📅
74451 Requisition #
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ROLE

The Financial Operations Team is responsible for the timely and accurate processing of payments in line with regulatory requirements and surrounding processes. These include, but are not limited to, postings, reporting, debtor chasing, queries, off shore oversight, procedures, controls and audits.

PRINCIPAL RESPONSIBILITIES

Oversight of the processing and quality check a wide range of Financial Operations transactions through our systems, to regulatory and client standards (Including FCA CASS regulations)
Be an SME for the team and be able to facilitate discussions and reach decisions across your team and other business area’s
Oversee and perform the appropriate QA of all tasks
Ensure all checklists are completed accurately and timely
KPI’s, Client SLA’s and requests are fully met in a timely manner
Escalate issues appropriately.
Ensuring resolution of enquiries and exceptions in a timely manner. 
Communicates with various areas, other banks and relevant external parties to resolve queries.
Maintains a close working relationship with other areas
Day to day processing work, quality checks and quality assurance per procedures and checklists
Ensure procedures are reviewed and updated within the corporate standards for UKTA and ensure CASS Process flows and Control Register is updated with any additional controls implemented.
Oversight of Mailbox management and timely responses.
Procedure maintenance following the change control process
Responsible for the Banking and paying out (including re-issues) of all cheques
Ensure Trustee figures are agreed and confirmed ahead of ACSD
Ensure regular payments are generated (eg distributions, commission, savers) and released by the deadlines
All Client reporting is met in accordance with SLA
Oversight of debtor chasing and reporting
External reporting and emails are checked and sent timely
Cheque books are maintained accurately and securely within the safe in London and Harlow
To work with the Team Leader and Manager on any allocated projects.
Oversight of the processing and QA of all Financial Operational tasks carried out in India 
Allocated work is completed to deadlines 
Complete any incident reports ASAP and within agreed SLA
Oversight of platform proforma production
Fulfil additional, relevant, tasks appropriate to the role and business requirements

ACCOUNTABILITIES

Employees are required to comply with the regulatory regime in which Northern Trust operates as appropriate to the above role.
Employees are expected to exercise due care and diligence, ensuring the areas the incumbent is responsible for are organised and controlled.
Employees are required to observe proper standards of market, business and personal conduct, demonstrating integrity in the execution of duties.

RELATIONSHIPS 

INTERNAL KEY STAKEHOLDERS

Relationship Managers
Management Team
Internal Clients
INTERNAL AUDIT AND COMPLIANCE

EXTERNAL KEY STAKEHOLDERS

Regulators including, FCA and FED
External Clients
External Advisors
External Banking Partners
External Auditors / Trustees and Compliance
Shareholders 
QUALIFICATIONS / SKILLS / EXPERIENCE 

Demonstrate a detailed working knowledge of Cash Management, Debtor Chasing, Client money processes and requirements together with cashbooks and nominal ledger postings, distribution, commission and AMC rebate processing
Ability to review and resolve complex issues working under pressure meeting challenging deadlines
Customer Service experience
Excellent planning and organisation skills with a flexible approach to work
Ability to work on own initiative
Effective verbal reasoning and numeric skills (Essential)
Good keyboard skills to include MS Excel and ability to learn systems used within the business (Essential) 
Experience in working with Multi Currency companies

KNOWLEDGE

Extensive knowledge of collective investment scheme administration and the regulatory environment is highly desirable
An understanding of Unit Trust and OEIC administration
Knowledge and understanding of FCA  / HMRC regulatory Environment

CORE COMPETENCIES

Interpersonal (relationship building, respectful, problem solving and understanding)
Communication (listening skills, oral communication skills, information sharing and written communication skills)
Self-management (adaptability, integrity, learning and trust builder)
Motivation (closure and result seeking)
Thinking (decision making, idea generation, inclusion and problem solving)
Organisational Knowledge (current knowledge, knowledge and understanding)
Client Service and Quality (quality, relationship building and client satisfaction)
Administration (coordination, execution, planning and time management)
Leadership (direction, idea generation, knowledge sharing and team recognition)
Compliance

About Northern Trust 

For more than a century, Northern Trust has worked hard building our legacy of outstanding service, expertise and integrity. From a Chicago-based bank founded in 1889, we now have more than 20 international locations and 18,500 employees globally. We serve the world’s most-sophisticated clients – from sovereign wealth funds and the wealthiest individuals and families, to the most-successful hedge funds and corporate brands.

We burnished our reputation as a global leader delivering innovative investment management, asset and fund administration, fiduciary and banking solutions enabled by sophisticated, leading technology. And through it all, we continually laid a solid, forward-looking foundation on which future generations can continue growing and achieving greater.

Northern Trust proudly cultivates a diverse workforce, to serve our diverse client base. We strongly believe that diversity of experience contributes to a broader collective perspective that will consistently lead to a better company. We encourage applications from the best regardless of ethnicity, gender, gender identity, age, nationality, disability, sexual orientation, education, socio-economic background, parental and caring status, or religion. 

As of December 31, 2018, Northern Trust Corporation had:

$10.1 trillion in assets under custody/administration
$7.6 trillion in assets under custody
$1.1 trillion in assets under management
$132 billion in banking assets 

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Reasonable Accommodation
Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If, because of a medical condition or disability, you need a reasonable accommodation for any part of the employment process, please email our HR Service Center or call 1-800-807-0302 (North America), +630-276-5353 (Asia Pacific), +44(0)207 982 4357 (Europe, Middle East and Africa) and let us know the nature of your request and your contact information.

Equal Employment Opportunity Statements
  • APAC EEO Statement
    • APAC EEO STATEMENT

      It is the policy and practice of Northern Trust to provide equal employment opportunities to all employees and applicants. Northern Trust does not discriminate on the basis of race, colour, religion or belief, nationality, ethnic or national origin, sex, marital status, sexual orientation, disability or age. All employment decisions will be made in a non-discriminatory manner in accordance with our obligations under the law and codes of practice. This includes human resources’ decisions relating to recruitment, terms and conditions of employment, transfers, promotions and access to learning and development.

  • Canada EEO Statement
    • Canada EEO STATEMENT

      Northern Trust is an Equal Opportunity Employer. Hiring and other employment decisions at Northern Trust are made without regard to race, colour, religion, sex, ancestry, national origin, ethnic origin, age, disability, citizenship, veteran status, sexual orientation, record of offences, marital status, family status, or any other characteristic protected by federal, provincial, or local law, regulation, or ordinance.

  • EMEA EEO Statement
    • EMEA EEO STATEMENT

      It is the policy and practice of Northern Trust to provide equal employment opportunities to all employees and applicants. Northern Trust does not discriminate on the basis of race, colour, religion or belief, nationality, ethnic or national origin, sex, marital status, sexual orientation, disability or age. All employment decisions will be made in a non-discriminatory manner in accordance with our obligations under the law and codes of practice. This includes human resources’ decisions relating to recruitment, terms and conditions of employment, transfers, promotions and access to learning and development.

  • USA EEO Statement
    • USA EEO STATEMENT

      It is the policy of The Northern Trust Company to afford equal opportunity in all phases of employment without regard to an individual's age, race, color, religion, creed, gender, national origin, citizenship status, marital status, pregnancy, sexual orientation, gender identity, gender expression, genetic tests and information, physical or mental disability, protected veteran status or any other legally protected status. EEO poster (U.S.)EEO is Law Poster Supplement