Role Description
FNZ TA Services Limited undertakes the role as transfer agent for multiple Authorised Corporate Directors for both Institutional and Retail investors.
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Client On-boarding (setting up new clients on the system, includes KYC etc).
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Dealing (instructions received via various means to buy/sell funds).
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Box Management (process of managing the movements in/out of funds).
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Stock Transfers (instructions received via various means to move units between holders).
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ISA Transfers (in and out to and from external providers).
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Cash Settlement (process of moving money for buys and sell of funds).
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Distributions (calculation of interest (cash/units) received during fund period).
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Monthly Transactions and Holdings Reporting (issuance of client’s statements & transactions).
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Probates.
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Register Maintenance
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Record keeping
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Use of workflow tools
Role Overview:
To ensure that daily tasks within the transfer agency are completed in a timely manner, the candidate will have to work to tight deadlines on a daily basis and be able to carry out tasks as per outlined in departmental procedures. The role-holder will have an understanding of the governing FCA rules – in particular COLL and CASS and will demonstrate understanding as part of their role. There will be the opportunity to be involved in future on-boarding projects within the company. Responsible for maintaining the legal register for each appointed Authorised Corporate Director, with dealing and registration of each client.
Key Responsibilities:
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Received and place investor deals into the TA system
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Process Box Management returns in a timely manner
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Ability to use checklists to ensure all tasks have been completed
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Ad hoc tasks when requested
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Dealing with Telephone queries where applicable
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Handling of ISA applications
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Knowledge of AML requirements for investors (although not essential)
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Carry out settlement for transactions on various banks
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Calculations of Distribution rates and issuing income payments to investors
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Register and account maintenance.
Experience Desired
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Ability to work to daily deadlines.
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Working knowledge of excel.
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Attention to detail.
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Attained modules in the IOC (“Investments Operations Certificate”).
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Pro-active individual who can challenge processes and recommend improvements.
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Experience of working in a finance admin role
About FNZ
FNZ is committed to opening up wealth so that everyone, everywhere can invest in their future on their terms. We know the foundation to do that already exists in the wealth management industry, but complexity holds firms back.
We created wealth’s growth platform to help. We provide a global, end-to-end wealth management platform that integrates modern technology with business and investment operations. All in a regulated financial institution.
We partner with over 650 financial institutions and 12,000 wealth managers, with US$1.5 trillion in assets under administration (AUA).
Together with our customers, we help over 20 million people from all wealth segments to invest in their future.
Top Skills
What We Do
FNZ is committed to opening up wealth so that everyone, everywhere can invest in their future on their terms. We know the foundation to do that already exists in the wealth management industry, but complexity holds firms back.
We created wealth’s growth platform to help. We provide a global, end-to-end wealth management platform that integrates modern technology with business and investment operations. All in a regulated financial institution.
We partner with over 650 financial institutions and 12,000 wealth managers, with US$1.5 trillion in assets under administration (AUA).
Together with our customers, we help over 20 million people from all wealth segments to invest in their future
