Lead Associate - Asset Transfers

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 daytoday 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 postissue analysis to identify and address the root cause
• Provide leadership training and guidance to the team promoting a culture of continuous learning improvement and clientcentricity. 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 clients 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 wellbeing 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 dont 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 thatspeculative CVs received by Close Brothers that have not been authorised in advance by us will be ineligible for an agency fee. Thank you.

Winterflood Business Services (WBS) is a business to business (B2B) platform provider whose awardwinning service has seen us grow to over 15bn AUA with an expanding client 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 endtoend 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 inhouse development team. EOS is built using the latest technologies and is based on microservice architecture making the platform easy to scale and deploy new 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