Wealth Operations Control (12MO FTC)

Keywords: incident management, wealth management, risk oversight, root cause analysis, stakeholder communication, process improvement, front office support Looking for someone who thrives on ensuring seamless business operations and delivering outstanding client and stakeholder experiences. Responsible for incident resolution, working closely with front office and internal stakeholders to identify, record, and resolve disruptions efficiently.

What you'll do:

As a Wealth Incident Resolution Specialist, you will play a crucial role in safeguarding operational excellence within investment services. Your day-to-day activities will be to:

• Monitor and respond promptly to front office incidents reported by users, systems, or automated tools, ensuring swift identification and action.
• Demonstrate subject matter expertise when managing the resolution of front office incidents, focusing on timely and effective solutions while identifying key elements requiring redress.
• Collaborate closely with front office teams and other internal stakeholders to resolve incidents efficiently, prioritising your workload based on severity and urgency.
• Adhere strictly to established incident management procedures and best practices while ensuring compliance with all relevant policies and standards.
• Maintain clear, consistent communication with stakeholders during incidents by providing regular updates on status and resolution efforts, escalating issues as necessary.
• Utilise Governance, Risk and Compliance (GRC) tools to document incidents comprehensively, track progress, manage associated risks, and identify trends or patterns within front office operations.
• Conduct thorough post-incident reviews to determine root causes and implement corrective actions aimed at preventing recurrence while meeting agreed service level agreements and quality standards.
• Ensure meticulous documentation of all incidents including actions taken and lessons learned to support ongoing process improvements.
• Identify opportunities for process enhancements across the business by providing detailed feedback on recurring incidents or common themes of failure to the Incident Resolution Lead.
• Assist the Incident Resolution Lead in driving forward business process improvements by supporting training initiatives and offering guidance to front office staff on incident management processes.

What you bring:

• Experience in incident management or middle office error remediation within wealth or asset management environments is essential for success in this role.
• A comprehensive understanding of investment product types such as General Investment Accounts, ISAs, Offshore Bonds, personal pensions, group pension products as well as familiarity with assets like equities, funds, investment trusts, and bonds is required.
• Proven ability to manage multiple incidents simultaneously while demonstrating ownership through clear decision-making processes is vital.
• An analytical approach to problem solving combined with the capacity to identify areas of risk or operational underperformance is highly valued.
• Excellent verbal and written communication skills are necessary for conveying complex information effectively to diverse stakeholders.
• Strong organisational abilities are needed to juggle competing priorities without compromising attention to detail or quality standards.
• Familiarity with Governance, Risk and Compliance (GRC) tools for documenting incidents and tracking progress is advantageous.
• A collaborative mindset with experience working cross-functionally within financial services organisations will set you apart.
• Commitment to upholding regulatory requirements such as FCA Conduct Rules is expected at all times.

Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates