AES International
Role Specification
Key Purpose of Role:
The role of the Associate is to assist the organisation in delivering an unparalleled client experience in line with the company Business Plan.
The role is a non-advised, back-office role where you will be actively participating in the client journey whilst providing spectacular support to all internal stakeholders.
Primary Responsibilities:
Play a significant part in the service delivery of outstanding client outcomes by ensuring accurate and timely issuance/processing/settlement of all account openings, cash movements, trades, and client communications.
Provide exceptional client service by adhering to procedural controls, while identifying any risks to mitigate them and minimise errors and losses.
Maintain strong relationships and monitor the responsibilities outsourced to our appointed custodian and highlight any trends, errors, or issues immediately.
Carry out ad-hoc and ongoing due diligence checks on clients and suppliers.
Assist with regulatory returns and data collation.
Support the delivery of Training & Competency requirements, and the implementation of the Compliance Monitoring Programme.
Main Duties:
Client Service Delivery
(Value – Make it Happen)
- Play a significant part in the service delivery of exceptional client outcomes as part of the Operations team
- Perform account opening and process further business applications in an efficient manner to give the best possible client experience
- Carry out daily, weekly, and monthly processes, investigating any exceptions or errors, and complete relevant control checklists
- Correspond at a basic level (or under instruction for complex issues) with advisory teams to improve operating standards
- Implement process workflows to support business activities and continuously review and simplify to enhance the user experience
- Instruct and reconcile cash and asset transactions and address any issues
- Ensure all documentation is completed accurately and compliantly
- Accurately input data into CRM and trading systems
- Carry out double checking/proof reading duties for colleagues to provide spectacular support
- Locate basic issues and inform Line Manager with proposals for rectification where appropriate
- Ad-hoc tasks and project work where required
Achieve Good Client Outcomes
(Value – Lead from the Front)
- Act on client/Adviser instructions to assist with timely investment/transfer in line with client needs and expectations
- Proactively work to ensure all clients receive an exceptional client experience and take appropriate action to drive positive client outcomes
- Respond to client and/or Adviser technical queries in a timely manner
- Support Compliance Team Leader in research and horizon scanning
- Follow best execution, compliance guidelines, and operational procedures
- Update internal system accurately and maintain any relevant financial data
- Validate and reconcile the taking of fees
- Check all client reporting documents that are issued to ensure clarity, compliance, and accuracy, including annual reports, contract notes, and ad hoc valuations
Working as a Team
(Value – Working Together)
- Cultivate the values and behaviours of AES within and outside the organisation
- Work closely with colleagues to ensure that all clients and users receive excellent service
- Proactively prepare for regular 121s and appraisals
- Actively seek to develop experience and competencies
- Complete work to agreed standards (quality and timeliness)
Service Development
(Value – Thinking with Purpose)
- Participate in and/or support key projects or technical initiatives across the business as required
- Provide constructive feedback on new and existing processes
- Offer suggestions and ideas for process improvement and simplification to ensure a client centred approach that provides positive outcomes
Conduct
(Value – Be the Difference)
- Be a brand ambassador for AES and promote all services, our values, and behaviours to ensure good client outcomes and meet conduct responsibilities
- Take steps to pass relevant examinations at an early date
- Take responsibility for personal reading and understanding all technical research, legislative and regulatory change updates
Person Specification
Knowledge and Qualifications
- Minimum of a 2:1 degree or equivalent qualification in a relevant field
- Understanding of compliance requirements, investment processes and products
- Professional qualifications and/or progression towards qualifications with the CISI or ICA
Skills and Attributes
- Strong organisational skills
- Excellent communication (written and oral) and interpersonal skills (presentational; listening; diplomacy; influencing)
- Clear commitment to an effective and efficient organisation
- Proven record of delivering all work accurately, on time and to agreed standards
- A positive and engaged attitude with a willingness to learn and develop skills
- Excellent numerical skills
- Strong accuracy and attention to detail
- Problem solving skills with a positive attitude
- Ability to:
– Work effectively as a member of a team
– Relate well to staff across AES
– Participate in projects and identify areas for continuous improvement
– Work under pressure and to tight deadlines
Experience
- Excellent working knowledge of Microsoft Office
- Previous work experience or internship within the Financial Services sector preferred
- Previous work experience or internship within Compliance / Risk preferred
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