Job Description
ROLE OVERVIEW To ensure all cash transactions are processed timely and accurately and in accordance with CASS regulations and to monitor suspicious activity.RESPONSIBILITIESCheque and BACS submissions and rejections, CHAPS payments, Direct Debit receipts, funding executions, cash adjustments, client payments.Monitor suspicious activity.To communicate and escalate potential issues in a prompt and effective manner.Adhoc tasks requested by manager.Understand, follow and demonstrate compliance with all relevant internal and external rules, regulations and procedures that apply to the conduct of the business in which you are involved. Specifically this includes following principles and rules of the Financial Conduct Authority (FCA) and the internal requirements set out in the Compliance Manual, local and Group Compliance and Risk policies.Respond to requests to implement on a timely basis all internal and external audit points together with any issues raised by external regulators, local Compliance/Risk or Group Compliance/Risk.Be aware of the Operational Risks associated with your role and act in a manner that takes account of these risks and the relevant controls.Follow the FCA’s Treating Customers Fairly (TCF) principle by adhering to all relevant internal TCF policies, considering how TCF affects your role and act in a manner which helps to ensure fair outcomes for clients.Regulatory responsibilities ¦ Compliance/T&CTo fully comply with the Financial Services and Markets Act 2000 (as amended from time to time) and the rules of The Financial Conduct Authority and any other applicable laws and regulations.To communicate and escalate potential issues in a prompt and effective manner.To participate in relevant training courses when requested to do so, in particular anti-money laundering and market abuse training.To adhere to the relevant Asset Management division policies, including those on conflicts of interest, gifts and entertainment at all times.To follow the Group and local rules on personal account dealing as set out in the Group Personal Dealing Rules and supplemented by specific additional local requirements set out in the relevant Compliance Manual.To fully comply with the relevant Anti-Money Laundering regulations, specifically relating to the verification of clients and report promptly any knowledge or suspicion of money laundering activities to the relevant MLRO.Undertake and record sufficient appropriate CPD to evidence that you have adequately maintained your competence.As a Certified Person under SMCR, you must accept responsibility and demonstrate an understanding for the regulatory aspects and framework of the FCA certification function(s) that you perform, and ensure you meet and abide by the rules of the FCA’s fit and proper test, and comply with the FCA’s Conduct Rules. Additionally, you must ensure your compliance with all internal policies, procedures and standards. WE WOULD LOVE TO HEAR FROM YOU IF YOU HAVE:Enhanced knowledge of Excel.Good numeracy skills.Attention to detail.Good communications skills.Good attitude and strong personality.Able to work on own initiative.Good knowledge of Microsoft Word.Grasping and learning new concepts quickly.Able to work under pressure against irremovable deadlines.Team PlayerAs an employer, Close Brothers Asset Management is committed to equality and valuing diversity within its workforce. We provide equality of opportunity and will aim to ensure that no employees or candidates are subject to discrimination on grounds of any characteristics including but not withstanding gender, gender identity, marital status, sexual orientation, race, colour, nationality, religion, age, disability, working pattern, caring responsibilities, political beliefs.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 that speculative CVs received by Close Brothers, that have not been authorised in advance, by us, will be ineligible for an agency fee. Thank you.#LI-EM1