Investment Operations Team Supervisor
To supervise and oversee the administration of investment account activity and client reports. Ensuring all processes and procedures are followed and to a compliant standard, to support the effective delivery of the suitable TCF outcomes and agreed service levels.
Duties and responsibilities:
- Manage the performance of the team through 1:1 and objective setting ensuring that productivity targets and servicing of clients’ accounts are met on an individual and team basis
- Monitor and manage all direct reports holidays, sickness, return to work, and time keeping
- Dealing with any staffing or workflow issues/requirements within the team, escalating where necessary
- Provide coaching and support to other team members and identifying training needs
- To be a point of contact for clients, providers and members of the business
- Identify any process issues/improvements and escalate to Business Change
- Ensure that all administration systems are maintained and that all client data is accurate and up to date where appropriate
- Monitor and maintain agreed diary management and record keeping processes to ensure appropriate activity audit trails are maintained in line with the Firm’s compliance standards
- Conduct quality audits for the team to ensure consistency of service standards and procedures.
- Support the delivery of any project work as required
- Analyse team MI in order to proactively forecast resourcing requirements, ensuring escalation to line manager where necessary
- Maintain a clear understanding of the concept of Treating Customers Fairly (TCF) and how AFH Wealth Management Ltd seeks to comply with this FCA requirement.
- Previous experience of managing a team
- Previous experience of coaching and supporting team members
- Previous experience of training staff
- General knowledge of the Financial Services Market and Investment Products
- General Procedural and Compliance Knowledge
- Knowledge of TCF Principles and how they apply to individual role
- Effective organisational and planning skills
- Experienced using Microsoft Word, Excel and Outlook
- Delivery focused, with a drive for quality throughout
- Investment Operations Certificate (IOC) -Desirable
- All employees are required to abide by AFH Group procedures and standards in relation to anti money laundering, data security and confidentiality and to complete training and assessment as required.