At a Glance
- Tasks: Support the movement of securities and ensure accurate processing in a dynamic investment operations team.
- Company: Join a leading investment firm with a focus on innovation and teamwork.
- Benefits: Competitive salary, hybrid working, and opportunities for professional growth.
- Other info: Collaborative environment with a strong focus on continuous improvement and career development.
- Why this job: Kickstart your career in finance while making a real impact on client transactions.
- Qualifications: Interest in securities settlements and a willingness to learn complex systems.
The predicted salary is between 23000 - 25000 £ per year.
This role sits within a specialist Investment Operations Transfers team responsible for ensuring the accurate and timely movement of securities between custodians, counterparties, and client accounts across UK and international markets.
As a trainee, you will initially support operational processes within the team and develop the technical knowledge required to fully perform a Junior Transfers & Settlements Analyst role. Once trained, you will take responsibility for the end-to-end processing and monitoring of stock transfers, ensuring settlement obligations are met accurately and on schedule. The role plays a key part in maintaining the integrity of securities movements and supporting the smooth execution of client and counterparty transactions.
Key Responsibilities
- Process and register physical and electronic share movements into and out of client nominee and registered names.
- Monitor shared operational mailboxes and ensure timely response/actioning of queries.
- Use internal systems to run and track order books, operational tasks, and settlement reports, escalating issues where required.
- Monitor daily stock reconciliations across multiple custodians and investigate discrepancies.
- Follow up on outstanding or delayed transfers on a regular basis, liaising with internal teams and external counterparties.
- Complete transfer documentation including account applications, registration forms, and stock transfer instructions.
- Work collaboratively with Client Services, Compliance, and Client Due Diligence teams to ensure accurate processing and adherence to requirements.
- Support system testing activity for platform fixes, upgrades, and process enhancements.
- Follow all established procedures and ensure operational controls are consistently applied.
- Contribute to process improvement by identifying inefficiencies and suggesting enhancements.
- Undertake relevant training and continue developing technical knowledge of investment operations and securities markets.
- Carry out any additional reasonable duties required to support the wider operations function.
Knowledge, Skills & Experience
- Technical / Professional
- Interest in or understanding of securities settlements and investment operations (advantageous).
- Willingness to develop knowledge of custody and transfer processes across multiple markets.
- Systems & Processes
- Ability to learn and operate complex internal systems and workflows.
- Exposure to or willingness to learn operational platforms used in investment administration.
- Strong procedural discipline with the ability to follow and improve structured processes.
- Regulatory Awareness
- Developing understanding of UK financial services regulation and relevant international frameworks (including Crown Dependencies).
- Ability to adhere to regulatory standards and elevate issues appropriately.
Core Competencies
- Accountability
- Attention to Detail
- Problem Solving
- Communication
- Team Collaboration
- Adaptability
- Time Management
- Continuous Improvement Mindset
Junior Transfers & Settlements Analyst employer: RGH-Global Limited
RGH-Global Limited is an exceptional employer, offering a supportive and nurturing work culture that prioritises the well-being of both staff and the young people in their care. Located in Liverpool, the company provides ample opportunities for professional growth and development, alongside a competitive salary package, making it an ideal place for those passionate about making a meaningful impact in the lives of children and young people.
