At a Glance
- Tasks: Manage securities transfers and settlements, ensuring accuracy and timely execution.
- Company: Join a dynamic financial services firm with a focus on innovation.
- Benefits: Competitive salary, hybrid working, and opportunities for professional growth.
- Other info: Great chance to learn and develop in a supportive environment.
- Why this job: Be part of a crucial team that ensures smooth financial operations.
- Qualifications: Interest in finance and strong attention to detail required.
This role sits within a specialist Transfers and Settlements function responsible for ensuring the accurate and timely delivery and receipt of securities across multiple custodians and counterparties. The Transfers & Settlements Analyst is responsible for executing and monitoring end-to-end transfer activity, ensuring trades and stock movements settle correctly on the intended value date. The role requires close coordination with internal stakeholders and external institutions to resolve settlement breaks, maintain data accuracy, and uphold operational controls.
Key Responsibilities
- Process and register physical share movements in and out of client nominee and registered names
- Monitor shared operational inboxes and ensure timely actioning of incoming queries and instructions
- Use internal systems to monitor settlement activity, including running order books, tasks, and operational reports to track free-of-payment trades
- Liaise with internal teams and external counterparties to resolve settlement issues and ensure timely completion of transfers
- Review daily stock reconciliations across multiple custodians, investigating and resolving discrepancies where required
- Chase and manage outstanding or delayed transfer activity on a scheduled basis
- Complete transfer-related documentation including application forms, registration paperwork, and stock transfer instructions
- Work collaboratively with Client Services, Compliance, and Client Due Diligence teams to ensure all operational and regulatory requirements are met
- Support system testing activity relating to platform enhancements, fixes, and upgrades
- Follow established procedures and operational controls at all times
- Identify and elevate issues appropriately in line with internal governance and regulatory expectations
- Undertake relevant training and maintain up-to-date knowledge of systems, processes, and market practices
- Maintain ongoing professional development and record relevant CPD activity
- Contribute to continuous improvement by identifying opportunities to enhance processes and system efficiency
- Undertake any additional reasonable duties required to support the wider operations function
Knowledge, Skills & Experience
- Technical / Professional
- Understanding of securities settlement processes is advantageous
- Exposure to investment operations, custody, or transfer environments beneficial
- Experience in banking/financial operations is desirable
- Systems & Processes
- Ability to learn and operate complex internal systems (including operational processing platforms)
- Understanding of custody processes or willingness to develop this knowledge
- Strong adherence to procedural controls with an ability to suggest process improvements
- Regulatory Awareness
- Understanding of UK financial services regulation and relevant international frameworks, including Crown Dependencies
- Awareness of regulatory and compliance obligations relevant to operational processing
- Ability to elevate issues in line with internal and external regulatory expectations
- Core Competencies
- Relationship Management
- Communication
- Attention to Detail
- Process Awareness
- Analytical Thinking
- Technical Curiosity
- Time Management
- Collaboration
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.
