Role Title: UKTA Investor Services Senior Administrator
Business: HSBC Securities Services, Edinburgh
New or Existing Role- Existing
Grade: GCB 6
Working within a UKTA Investor Services Contact Centre primarily dealing with inbound telephone enquries with focus on managing and servicing calls from Investors. The calls will cover retail and institutional investors and telephone dealing could form part of the role from time to time. Whilst the phone work is the primary focus, there will be cross over into other areas of UKTA such as the Correspondence team, this will be at the discretion of the Management team. There will also be an element of outbound calls to investors.The services will typically support multiple Asset Managers with a range of products (OEICS, Unit Trusts, ISAs, Investment Trusts) and there will be quality controls and oversight and maker/checker processes in place.
Impact on the Business:
- Be the voice of the customer, maintaining open and transparent communication with customers
- Be a partner of choice for Business Partner in delivering superlative support and service
- Alert all key stake-holders on high risk, sensitive customer complaints that impact the Group’s reputation and participate in steps taken to remedy process, policy, systems as applicable.
- Key role for the delivery of a cohesive service to our clients and their investors.
- Day to day processing of activities within the department to ensure that all tasks are processed in accordance with agreed procedures and controls and in accordance with relevant fund parameters.
- Understanding of the business and keeping abreast of development in the market.
- Suggest and implement improvements to the Transfer Agency processes and procedures in consultation with the Supervisor.
Customers / Stakeholders
- Best in class service delivery in managing telephone enquiries across a range of stakeholders
- Resolution of customer requests within the framework of Customer Fairness Principles
- Ensure consistent delivery across all customer-facing teams
- Highest skill levels, in engaging customers over ‘phone and where appropriate in responding to emails and written work as directed by the management team
Operational Effectiveness & Control
- Adherence to the daily operation policy and procedure, no breach in Company’s policy
- Ensure escalation process is adhered too.
- Ensure adherence to procedures and FIMs including Compliance policies and Internal Controls.
- Ensure new business or new processes are understood.
- Be aware of the business practices and processes associated with the role, and act in a manner that takes account of operational risk considerations.
- Be aware of the Operational Risk scenario associated with the role, and ensure that all actions during your employment with HSBC take account of the likelihood of operational risk occurring.
- Maximising client satisfaction whilst maintaining a stable and controlled service model in a challenging environment.
- Ensuring consistency in the process across Clients.
- Keep abreast with the latest development in the rules and regulations by the regulators of the various markets and to identify the implications involved to the current processes.
- Effectively mitigate identified Operational Risks.
- Comply with Group’s Statutory Audit standards.
- Ensure quality and productivity standards are maintained.
- A dynamic role providing the job holder with exposure to key Stakeholders.
- With the expansion of the product into the UK Market, the business is expected to go through a period of significant growth which will be followed by a period of stability.
- The GDTA team plays a very important role in HSS Edinburgh’s service differentiation and ultimate client satisfaction.
- This role operates in a time critical environment and is required to be fully aware of processing of other UKTA activity such as dealing, settlement etc.
The jobholder will ensure that risk controlled quality service to our customers and their shareholders is at the heart of everything we do, both personally and as an organisation.
The jobholder will also continually assist the Management in reassessing the operational risks inherent in the business. Any actions to address risks if any should be driven by the jobholder in conjunction with the actions formulated by the Management.
Observation of Internal Controls
The jobholder will also adhere to and be able to demonstrate adherence to internal controls. This will be achieved by adherence to all relevant procedures, keeping appropriate records and, where appropriate, by the timely implementation of internal and external audit points, including issues raised by external regulators.
The jobholder will help management implement the Group compliance policy by containing compliance risk in liaison with Global Head of Compliance, Global Compliance Officer, Regional Compliance Officer and/or Local Compliance Officer. The term ‘compliance’ embraces all relevant financial services laws, rules and codes with which the business has to comply. Understand, follow and demonstrate compliance with all relevant internal and external rules, regulations and procedures that apply to the conduct of the business in which you are involved, specifically Internal Controls and any Compliance policy including, inter alia, the Group Compliance policy and Global Standards.
This will be achieved by adhering to all relevant processes/procedures. Also, the jobholder will need to assist management by providing all relevant information to them about new business initiatives at the earliest opportunity for management to reach out to relevant stakeholders.