• Profile
Job Description

The primary objective is to oversee all operational aspects of the asset services Trade Settlement processes.  This role will ensure that excellent administrative support is provided to the Investment Management Team with the client at the heart of the service. The Asset Services team work closely with the other Investment Management Operations teams and the Investment Management team as well as interfacing with all other areas of the bank and third party providers.


As a member of the Settlements team responsibility for the day-to-day trade settlements processes, ensuring processing in completed in an efficient and accurate manner, meeting SLA’s and Service Standards.  Helping to provide a working environment that generates positive energy, creativity, and teamwork.


  • Monitor the settlement of all trades ensuring timely settlement of trades via CREST, custodians and fund managers

  • Produce accurate late settlement data required for daily CASS funding

  • Continued monitoring/action of reconciliation breaks to ensure notes are updated regularly and clearance in a timely manner

  • Ensure transactions are reported to the FCA within the required timeframe in accordance with MiFID II regulations

  • To support and communicate with team members prioritising workflow and helping with query resolution.

  • To support and work with the Asset Services Senior Administrator to identify and implement process improvements

  • Adherence to CASS rules – where they apply

  • Support the production of monthly MI

  • Adhoc participation in meetings and projects as applicable


Risk & Control

  • A good understanding of the risk culture in the team, work with the senior administrator and team manager to ensure procedures are updated when required and are fit for purpose (to internal & regulatory standards), and controls are suitable and effective.

Key Interfaces

The position is likely to involve interacting with every area of the firm from time to time and you will work with Executive Committee / Investment Directors of the company

  • Fellow Investment Operation team members
  • Client facing Investment Managers & their assistants
  • Many other bank departments (e.g. Compliance)
  • Intermediaries and third parties (e.g. Offshore Custodians)
Person Specification

Knowledge & Experience

  • Experience using Excel and adapting manual processes is essential
  • Relevant previous experience for the role is necessary.
  • Broad experience of UK securities administration.
  • Experience and knowledge of the characteristics of different asset types (Bonds, Equities and Unit Trusts / OEICS) Hedge funds and how they are pay income.
  • A high standard of Compliance and regulatory knowledge, covering AML, Best Execution policy, CASS and TCF.
  • Knowledge and experience of servicing private client business and understanding the requirements and expectations of the HNW market.
  • Team working- it is essential that all staff members have a strong team player focus.

Key Skills

  • Good system skills with experience of Microsoft office
  • Previous experience with Investment Management Systems and interfaces such as Crest, EMX, Reconciliation systems or Tercero.
  • The role requires a high level of attention to detail
  • Ability to communicate both verbally and written with providers and management.


Core Competencies

  • Team Working

  • Planning & Reviewing

  • Judgement and Problem Solving

  • Good communication

  • Working proactively

  • Flexible approach