Finance Administrator
Full Time
Job Description
- Sourcing relevant documentation for clients to complete in order to on-board or maintain a compliant account.
- Entering payments and rolling over loans.
- Assisting the Head of Marketing in planning client events.
- Entering prospect details into our client relationship management tool.
- Scanning documents into our client relationship management tool.
- Assisting teams in creating client pitch books and presentations.
- Maintaining customer / policy records in our client relationship management tool.
- Ensuring that all compliance procedures are adhered to on a day-to-day basis.
- Documentation, statement information, securities’ transfers, security information, general product and/or service information research.
- Help in answering administrative and operational enquiries.
- Attending client meetings (when appropriate and if requested)
- Attending client events particularly The Year Ahead.
- Investment Management.
- Investment transaction matching, confirmation and settlement.
- Portfolio cash reconciliation and management.
- Corporate actions processing.
- Preparation of internal and client investment reports.
- Business Management.
- Handling any documentation, presentation preparation and mailings, as required.
- May provide marketing support for RMs.
- The Company is committed to ensuring that all employees are treated fairly, with dignity and respect, regardless of employees’ age, sex, sexual orientation, marital status, creed, color, race, ethnic origin, religion or belief or disability.
- Coverage for staff due to holiday or sickness absence.
- Remain current on the firm’s products, services and system applications.
- Regulatory Responsibilities & Risk Management.
- Support the RMs, ARMs, PMs, Supervision, Compliance and Client Services, in their responsibilities (excluding order taking and execution).
- Report suspicious activity.
- Completion of all required training (Online and Classroom).
- Adherence to all the Firm’s Policies and Procedures.
- Ensure that the FCA Conduct Rules are fully understood and that the highest
- Professional and personal standards in accordance with the FCA Conduct Rules are adhered to and followed.
- Culture, Values & Behaviors
- The role holder is required to cultivate mutual respect, understanding and sustainable relationships with their stakeholders and the communities in which they will interact on a daily basis.
- We expect you to be passionate about the business and industry in all its facets and strive for continual improvement for the department and broader business.
- Further, you will contribute to help shape a culture of openness, enthusiasm and curiosity that inspires entrepreneurship within the team and broader business.
- We expect all employees to take a client-centric approach in everything they do and provide best in class services to ensure a consistent level of excellence.
- Risk & Compliance.
- To effectively support business in their duty to comply with the relevant laws and regulations and internal procedures.
Required Knowledge, Skills, and Abilities
- Excellent interpersonal skills.
- Possession of good judgment.
- Strong verbal and written communication skills.
- A natural team player.
- Good attention to detail, punctual, reliable.
- Self-motivated with ability to work well independently.
- Passionate about client service.
- Level 2 Math and English, ideally as part of 5 GCSE A-C grades.
- Sensitivity in dealing with confidential business and client-related issues.
- Efficient time management and ability to priorities.
- Good knowledge of MS Office applications. Including Excel, Word, and Power Point.
- Strong organizational and planning skills.
- Strong administrative skills.
- Candidate will need to successfully complete the below Level 3 qualification during
- the apprenticeship:
- Chartered Institute of Securities and Investment (CISI) – Investment.
Reference no: 95016