Wealth Management Senior Operations Analyst

  • Excellent
  • London, England, United Kingdom
  • Permanent, Full time
  • Non-disclosed
  • 16 Aug 17

My client, a boutique wealth management firm, are looking for a Senior Operations Analyst.


The role is for an Operations Analyst - a critical support role within the firm. The individual being sought will be detail orientated, able to administer many operational processes and suggest and implement efficiency improvements where possible.


As clients are onboarded, there will be oversight requirements in terms of potential incoming asset transfers. It is expected that the incumbent will be familiar in liaising with custodians, service providers and monitoring the status of open events/queries. Experience of the wealth management industry is required and should include all types of clients - individuals, families, companies, trusts and equivalent. Asset experience should include equities, funds, bonds and ideally private equity and derivatives.


The asset types experience should extend to those products within asset transfers, dividends, settlements, reconciliations, pricing, stock set-up and valuations.


The firm has developed a number of key policies and procedures. The individual in the first instance will be responsible for following and developing the key policies, procedures and controls for the firm. The ability to be able to follow a procedure and highlight where developments would be beneficial is necessary and is critical for the success of the team and the company as a whole. It is also paramount that the individual contributes to ensure we do not place the firm at regulator risk. 


In addition to the objectives of the firm to meet its regulatory obligations, we are setting an expectation that all client interactions should be wherever possible seamless, professional and a positive client experience. We encourage the individual to always consider the impact of a transaction on a client and to raise ideas that may improve the client experience.

The individual will work closely with the Head of Governance, General Counsel, Client Advisors and the Operations team.

Responsibilities and Accountabilities:

The individual will be expected to assist with a number of critical functions:

  1. Operational support for:
  • Ensuring that data reconciliations are clear, if they are not then all issues are to be investigated, itemised and rectified.
  • Book of records must be correct at all times, this role has a real focus to ensure that all data feeds are correct.
  • Data input will be required where necessary for certain transactions.
  • As more custodians are added to the firm offering to cover 3rd party custody and a choice of custodians for the client, the incumbent will be familiar with this kind of set-up and working with the number of data feeds and aggregated reporting.
  • Settlements for all asset types.
  • Dividend monitoring and investigations.
  • Daily BAU to include operational controls, price monitoring, payments, asset transfers, cash receipts and SOF/SOW corporate action monitoring.
  • Corporate Action review and gathering responses to elections – ensuring that deadlines are met and that the desired result is produced.
  • Assist in the production of valuations.
  • Understand payment processes and ensure that these are actioned by the custodian and return via the data feed the following day.
  • Client take on and transfer of assets and book costs.
  • Client exit or death and transfer of assets and book costs.
  • General Operational queries and support to the Client Advisors.
  • Face off to custodians and other third parties.
  • Regulatory reporting including – Transaction Reporting, EMIR, large transaction disclosures and POTAM.
  • Assist with ad-hoc projects internally to improve processes and progress new initiatives.


  1. Evolution of process, procedures and tools to support:
  • Review procedures and ensure that they are fit for purpose. Provide ideas for improvement and document where processes change over time.
  • Regulatory change;
  • Evolving proposition; and
  • Optimisation / efficiencies and client experience.


  1. General:
  • Assist Operations colleagues with any support that they may require.
  • Work in a team at all times and participate in projects with colleagues as and when necessary.