Financial Operations Manager

Job Overview:

As a Team Lead, you will be responsible for overseeing the day-to-day operations of our Transfer Services team. This includes ensuring all key daily duties are performed timely and accurately, updating procedures to mitigate process risks, and collaborating with other managers to ensure operational process efficiency.

Key Responsibilities:

• Leadership:
• Develop and implement effective leadership strategies to motivate and inspire team members
• Ensure team members have the necessary skills and knowledge to perform their job duties effectively
• Provide coaching and guidance to team members to improve performance

Essential Duties & Responsibilities:

• Ensure all key daily duties are performed timely and accurately
• Ensure procedures are updated to mitigate process risks
• Collaborate with other managers to ensure operational process efficiency
• Resolve escalated issues submitted to Executive Management and Regulatory Agencies
• Responsible for Departmental review for Internal and External Auditors
• Ensure Key Performance Metrics are provided to Compliance Department
• Review and sanction Legal Opinions and liaise with AST Legal Counsel for approvals
• Monitor internal and external public distributions lists for departmental processing
• Provide financial reporting to external vendors for Insurance revenue

Supervisory Duties & Responsibilities:

• Manage team schedules and maintain timekeeping
• Set goals for performance and deadlines and communicate them to subordinates
• Monitor and evaluate employee performance and provide constructive feedback, coaching and development
• Provide input on rewards and promotions based on performance
• Receive complaints and resolve employee issues and disputes
• Pass on information from upper management to employees and vice versa
• Prepare and submit management reports reflecting staff productivity
• Responsible for Risk Assessments for departments managed
• Responsible for Business Continuity planning for departments managed
• Cross train staff and perform additional training with stakeholders as needed
• Manage compliance and risk for functions performed within areas managed
• Monitor performance reports to ensure accuracy of transactions performed by departments managed
• Ensure adherence to legal, regulatory and company policies and procedures and undertake disciplinary actions if the need arises

Work Environment and Physical Demands:

• Essential functions are typically performed in an office setting but may also be performed remotely
• Noise level is medium
• Able to endure prolonged seating associated with the performance of essential functions
• Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions

Requirements:

• College Degree required and 7 to 10 years experience in Financial Services Operation Management
• 7+ years leading a team of 15 or more exempt & non-exempt employees
• Knowledge of Transfer Agent operational processes, reconciliations and SEC regulations
• Intermediate proficiency with Microsoft Word, Excel and basic knowledge of PowerPoint
• Strong time management, program management and prioritization skills
• Strong decision making and problem solving skills
• 7+ years experience with Transfer Agent industry
• Extensive knowledge of all STA, FINRA, DFS and SEC regulations
• Extensive knowledge of All AST applications: Mainframe, Document Tracking, OnBase, AST Cares and Ace Program

Benefits:

• 31 days + 9 bank holidays (UK)
• Comprehensive Medical Assurance cover
• Two-way cab transport for staff working in UK & US shift
• Maternity leave of 6 months full pay, 10days paid paternity leave
• Accidental & Life cover 3 times of concerned CTC

Education:

• UG: Any Graduate
• PG: Any Postgraduate