Compliance Servicing Team Leader

  • Permanent
  • Bristol, South West
  • Posted 28th November 2019
  • £28000 - £32000 per Annum + Competitive Bonus & Bens
  • Ref: 1201691
Working with a leading brand this is a new role within the Operational Delivery Team. As a Compliance Servicing Team Leader, you will lead a blended team ensuring that an effective compliance framework is adhered to when servicing end of life customer accounts

Your primary role will be ensuring all elements of service delivery are compliant with regulatory requirements and are being delivered in accordance with best practice while enhancing customer experience. The post holder will be responsible for leading a team to delivering best in class service while ensuring all compliance regulations are met.

Some of the key responsibilities of the role will be -
*Put in place appropriate process to improve the efficiency and quality of service meeting compliance regulations.
*Monitoring performance by gathering relevant data and producing statistical reports.
*Motivate, coach, and develop the team to enable them to succeed in all aspects of their role.
*Work with other parts of the business to deliver process improvements and customer experience
*To provide bespoke guidance on resolution and arrange required action to be taken to resolve complaints, liaising appropriately with internal and external stakeholders
*Implement and support changes to operating processes.
*Implement actions to improve performance where required.
*Assess the impact of process or policy changes upon the assurance regime and quality systems.
*Setting up and maintaining controls and documentation procedures.

Essential experience -
*Previous financial services experience essential
*Capital Gains Tax, Corporate Actions, APS, Probate and Vulnerable Clients
*Familiarity with Investments ideally in discretionary fund management is an advantage
*Investment Operations Certificate qualification or equivalent
*Knowledge of Investment Management - Processing of Corporate Actions, Dealing and Trade Settlement

The successful candidate will receive the following benefits:
*The working hours are Monday to Friday. Shifts between 8am to 6pm. 37.5 hours per week.
*25 days' holiday + Bank holidays
*Heath Care Cover
*Pension

For full information regarding this role, please contact me directly, initially with a CV for further information.

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