Job Description

This role will require support to be provided to the Valuations Team Operations Manager on the day-to-day oversight, and deputizing on daily duties. Plus the supervision of daily tasks within valuations functions, ensuring work is completed accurately and on time, and client requirements are prioritized at all times. To adhere to all controls, regulatory guidelines and procedures relevant to Valuations functions.

Responsibilities:

Operations Management & Tasks:

• Maintain up-to-date knowledge in all relevant regulations through regular review of HMRC guidance, FCA, and participation in internal working group meetings.
• Assist Team in the completion of daily tasks associated with Valuations functions and requirements, including regular liaison with Investment Front Office for requests, remediation and query resolution.
• To deputies for Operations Manager when relevant, and ensure the team meets regularly to discuss, document and communicate all relevant issues affecting the Team.
• Point of initial escalation with any internal/external stakeholders with regard to issues raised
• To provide technical advice and help resolve problems pertaining to issues within your area and where relevant externally to your area.
• Conduct 1-2-1 meetings with the team including coaching, and ensuring continued focus on performance objectives is being maintained throughout the year
• Support the Operations Manager in leading the team through audit visits, ensuring that adequate information is collected from the relevant team members and referred back to auditors in a timely manner for review.
• Ensure all complaints, breaches and near-misses are logged and action taken to resolve
• To support the change management programme, where relevant actively manage the development and delivery of changes to operational and system infrastructure.
• Oversee procedure updates and ensure these are collated in line with process changes, engaging with team for input where required
• Prepare accurate and comprehensive management information within the timescales agreed
• Regularly complete Training Needs Analysis of team members to ensure they have the required skill and knowledge to perform their role
• Appropriate Management Information Report, Key Performance Indicators, Key Risk Indicators (KRI) in place and updated by due dates
• All people resourcing requirements are identified with recruitment completed in an efficient manner

Client Servicing:

• Ensure that all dealings with internal / external clients are conducted professionally and that requests are dealt with in a timely and effective manner and takes responsibility to resolve
• Actively seek to improve operational capabilities of the team with a view to achieving servicing efficiencies
• Promote knowledge sharing and a unified approach within the team in order to improve the level of service provision

Management/Supervision

• Lead by example displaying strong values and beliefs and a commitment to encouraging individuals to put the client at the front of everything that they do
• Complete regular assessments of individuals and provides regular feedback to them on their performance and behaviors, recognizing both strengths and areas for development and providing appropriate training, coaching and support
• Ensure that knowledge of direct reports is kept up to date and that industry, regulatory and internal changes are appropriately communicated
• Ensure that any underperformance or conduct issues are dealt with and that senior management and HR are involved as appropriate
• Ensure that strict criteria are applied when recruiting and that the training needs for new recruits are comprehensively evaluated and appropriate interventions provided
• Ensure that direct reports comply with the Group's various policies and procedures

Business Strategy & Development

• Be able to explain the divisional strategy, demonstrating how business should be conducted to achieve the desired goals
• Contribute to the achievement of the divisional strategy
• Be proficient at identifying opportunities to develop and broaden the team’s service offering
• Be able to build relationships with third party providers providing them with clear and accurate information (where appropriate)

Regulatory & Risk Management

• Ensure that fair treatment of clients is at the forefront of all activities within the division
• Ensure that all interactions with clients and third parties are conducted in an open and transparent manner
• Demonstrate a thorough understanding of the regulatory framework and how it applies to your role, team and the broader division
• Operate in accordance with the division's policies and procedures manuals
• Demonstrate an awareness of the tools, policies and procedures used to identify risks and issues in relation to the division's business strategy, its clients and other internal risks, actively escalating identified risks and issues to Central Risk Management
• Demonstrate a strong understanding of the risks to clients within their operation and how these will be mitigated
• Ensure relevant people have a clear understanding of risk policies and procedures and the importance of putting them into practice
• Ensure all material risks and issues are reported
• Demonstrate a comprehensive understanding and application of the Group’s Conduct Risk Framework
• Personally comply with the Individual Conduct Rules set out in the FCA’s regulatory Code of Conduct Sourcebook, and any future changes thereto.

Continuous Professional Development:

• Ensure that knowledge and skills are maintained and developed in line with industry, regulatory and internal requirements by undertaking regular and appropriate CPD in order to reach your full potential (for the wider benefit of the Group)
• Regularly and comprehensively log CPD undertaken

Knowledge Management, Administration and Record Keeping:

• Manage records and data appropriately in line with Group policy.
• Operate in accordance with division's policies and procedures manuals.
• Ensure comprehensive client records are kept and that these are accurate and up to date at all times.

Key Competencies:

• Puts the client first and focuses on delivering the right solutions
• Delivers excellent service
• Personal leadership, teamwork & supervising
• Sound judgment
• Embracing change
• Communication
• Problem solving
• Integrity & trustworthy

Required Knowledge, Skills, and Abilities

Relevant Level 3 FCA recognized professional qualification (e.g. CISI Investment Operations Certificate) or appetite and ability to complete it within 18 months of appointment. Significant settlement operations experience gained within financial services. Demonstrable and practical knowledge of the regulatory environment relating to investment management and in particular settlement operations. Demonstrable experience of supervising the work of more junior members of staff. Experience of managing a team desirable, although not essential. Previous experience of working on change initiatives, with solid understanding of testing requirements & the overall cycle of change. Strong Interpersonal skills are essential, with the ability to communicate well both written and verbally to senior audiences. Ability to deal with difficult situations in a professional manner, always conscious of the client outcome. Demonstrate ability to understand and summarize complex information in a professional and concise manner. Ability to work accurately under pressure, multi task and interpret information quickly. Working knowledge of Microsoft Office packages: Minimum basic level Word and intermediate level Excel.