Administrator (Controls and Audit)

Link Group connects millions of people with their assets including equities, pension and superannuation, investments, property and other financial assets. We do this by partnering with thousands of financial market participants to deliver services, solutions and technology platforms that enhance the user experience and make scaled administration simple. We help manage regulatory complexity, improve data management and provide tools to help people connect to their assets, leveraging analysis, insight and technology. Our core businesses are complemented by our expertise in digital solutions and data analytics, and enable us to provide a complete service to our global network of clients and partners. (Link Asset Services is a member of Link Group.)

Our dedicated Technology & Operations division manages day-to-day operations, data processing and information analysis, utilising innovative technology to provide our clients with end to end solutions as well as a range of value-added services. Our continued investment in our proprietary technology platforms allows us to automate wealth management workflows, manage large consumer and member bases or provide insights through predictive analytics. By focussing on product and service innovation, our Technology & Operations division has evolved to become an innovative provider of solutions, identifying and anticipating the needs of clients across Link Group.

Overview

To provide post-trade administration support to the business, including Best Execution, Market Abuse, Transaction reporting, commission Stats, Stock/Cash Exception Controls and Broker Due Diligence.

To assist the Controls and Audit Manager in providing a monitoring and audit function on the Department's adherence to procedures, controls and regulatory requirements.

To provide regular and intelligent MI to the Controls and Audit Manager about work flow and areas of concern.

Key Accountabilities and Main Responsibilities

* Best Execution - To ensure that CIRGT meets is regulatory responsibility to achieve Best Execution for all clients

* Market Abuse - To ensure that trades are analysed thoroughly and provide management with assurance that the business has achieved its regulatory obligation of post trade surveillance for Market Abuse.

* Transaction Reporting - To ensure all transactions are reported to regulatory time guidelines in the appropriate standard, ensuring that any required updates are completed on the date notified or identified.

* Commission Stats - Ensure that commission stats are updated on a daily basis

* Stock/Cash exceptions - To control the process of exceptions; notification, investigation and resolution, ensuring that regulated exceptions are resolved on the date of identification or else funded where required.

* Broker Due Diligence - Ensuring that the brokers used by the Share dealing department are up to date and have provided all relevant and up-to-date documentation.

* To meet Share Dealing behavioural performance standards including attendance, team working and time keeping

* To adhere to policies and procedures at all times, escalating any issues which arise which may effect this

* Ensure relevant documented processes and procedures relating to these processes are accurate and regularly reviewed to remain fit for purpose in accordance with;

* The Clients' and Participants' requirements

* Adhering to FCA guidelines and other regulatory requirements/bodies as appropriate

* Adhering to Risk policy

* Maintain awareness of regulatory requirements for processes undertaken in fulfilling the role

* To deliver appropriate and accurate MI to Controls and Audit Assistant Manager and Transaction Reporting Officer to agreed timescales

* Ensure all incidents are handled in a timely manner and all ad-hoc duties are adhered to within timescales required.

* To complete all tasks accurately and in a timely manner

* To adopt a flexible approach in undertaking all aspects of work

* Other ad-hoc administrative duties related to share dealing will also be undertaken

Experience & Personal Attributes

* Ability to work under pressure and to tight deadlines

* Previous experience in a regulated, financial services environment

* Excellent accuracy and attention to detail

* Innovative and drives continuous improvement

* Ability to complete self-evaluation, understanding areas of development and strengths.

* Working knowledge of MS Word and MS Excel

* Create a culture of two way engagement, making the interaction productive and easy.

* Encourages a culture within the team to engage with the stakeholders in a way that forges strong working relationships and promotes openness.

At Link we believe our people are our most important asset. We offer excellent career progression opportunities, ongoing training and development. If you thrive in a fast-paced environment, want your talent to be recognised and rewarded and are looking for a new challenge then we would love to hear from you.

Together we achieve: We are an inclusive employer whose people work collaboratively. We are building a culture where difference is valued. We are doing this by encouraging, supporting and valuing the various talents and perspectives of our people and supporting flexible ways of working. We know that diversity drives innovation and innovation drives growth. Be part of the Link Group journey and together we will achieve our full potential.

We treat all individuals fairly and equitably and do not discriminate on the basis of diverse characteristics including, but not limited to gender, gender identity, sexual orientation, age, ethnicity, cultural background, physical abilities/disabilities, religious or political belief, marital or family status or carers responsibilities.

Candidates must have the relevant work rights to be considered for an opportunity at Link Group. Successful applicants will be required to complete background screening prior to commencement of employment