Senior Associate - Corporate Actions (6 Month FTC)

The Senior Corporate Actions Associate is responsible for the administration and processing of corporate actions and dividends for the firm, adhering to regulatory & product specific requirements. Furthermore, the incoming hire will act as a Subject Matter Expert (SME) for both the team and clients in delivering functional change. The successful hire will join on an initial 6 month fixed term basis.

Key Responsibilities

• Processing of corporate actions, dividends, and any associated claims; ensuring that they are completed accurately and on time.
• Management of primary and secondary placing events.
• Identifying and addressing any issues or challenges that arise, such as delays, communication breakdowns, or other obstacles.
• Maintain accurate records of all corporate actions, dividends, and other events, ensuring that they are properly documented and reported.
• Ensure all daily & periodic tasks are completed, including the investigation and resolution of reconciliation discrepancies.
• Escalate reconciliation, process, control, and regulatory issues to the team lead or department manager.
• Build and maintain relationships with clients, custodians, transfer agents, vendors, and other key stakeholders.
• Maintain compliance with regulations, managing operational risks, and assist in implementing appropriate risk management frameworks.
• Identifying opportunities to improve processes and procedures within Corporate Actions and assist the Senior Manager Corporate Actions to deliver change.
• This may involve acting as an SME or project lead in streamlining workflows, automating tasks, and leveraging technology to improve efficiency and reduce costs.
• Assist and produce management information relating to the activities of the team.
• Own and lead the User Acceptance Testing (UAT) of technology changes, define user stories, and document findings.
• Assist in coaching others to ensure all employees are supported and committed to embracing diversity & inclusion, organisational and personal objectives.

Required Skills and Knowledge

• Experience and knowledge of Corporate Actions, the trading cycle, and how this is impacted by corporate events.
• Ability to foster a strong positive culture (inclusive of the achievement of D&I objectives) aligned to the overall Company culture within a division or significant department.
• Track record of maintaining high performance standards; clear focus and commitment to driving great customer outcomes, profitability, and shareholder value.
• Ability to maintain a strong risk management and control framework throughout a significant market making or related department, inclusive of the ability to identify, assess, mitigate, and monitor risks and the offsetting controls.
• Working knowledge of the regulatory frameworks and requirements that apply to the business, including the CASS rules when managing client’s money or assets.

Benefits

• Competitive salary inclusive of discretionary annual bonus & annual pay review.
• Work Abroad policy for up to 15 days per year.
• 25 days holiday plus bank holidays and an additional well-being day.
• Option to purchase an additional 5 days holiday per year.
• Flexible working options available, including hybrid working (typically 3 days in the office and 2 days from home per week).
• Pension scheme up to 10% employer contribution.
• Income Protection & Life insurance (4 x salary core level of cover).
• Employee Assistance Programme.
• Discounted Gym Membership.
• Variety of travel to work schemes.

At Close Brothers, we look to recruit individuals from all different backgrounds and encourage you to apply even if you don’t tick every box. We celebrate diversity, promote inclusivity, and are open to discuss flexible work options to help you balance your work and home life.

The Company

Winterflood Securities is a leading market maker committed to providing liquidity and flexible execution services to retail brokers, asset managers, and institutional investors. Winterflood’s strengths are a combination of traditional trading values and the performance of our own cutting-edge technology. Our experienced team of traders helps clients achieve high-quality execution in over 15,000 tradable instruments including UK, European, and North American Equities together with Investment Trusts, Exchange Traded Products, Fixed Income, Structured Products, and Funds. Founded in 1988, Winterflood has gone from being a niche market maker in the UK Small Cap market, to a mature, diverse and major liquidity provider across multiple asset classes in the UK and European markets. Winterflood is authorised and regulated by the Financial Conduct Authority. Winterflood Securities is a wholly-owned subsidiary of Close Brothers Group plc, a specialist financial services group which makes loans, takes deposits, trades securities, and provides advice and investment management solutions to a wide range of clients.