Senior Operations Executive
- Permanent
William Rose Associates are currently partnering with an established Wealth Management Firm based in London, which is looking for a Senior Operations Executive to join the business.
ESSENTIAL SKILLS | Senior Operations Executive
- Around 4 years of experience in Wealth Management or Investment Management.
- Familiar with UK regulatory framework, especially COBS and SYSC.
- Open to pursuing professional qualifications.
- Experience with client relationship systems (e.g., TFS).
- Proficient in MS Office Suite (Excel, Word, PowerPoint).
- Able to demonstrate assertiveness and initiative in building and maintaining relationships across the company.
- Strong analytical skills and experience in report writing.
OVERVIEW | Senior Operations Executive
This role combines compliance and operational responsibilities, offering an opportunity to support regulatory adherence and enhance operational efficiency. Key duties include maintaining compliance registers, assisting with compliance reports, and supporting the team with anti-money laundering (AML) tasks and regulatory returns to the FCA and SEC. On the operational side, you will manage investment management systems, ensuring data accuracy across custodian, client, transaction, and pricing feeds. You'll collaborate with custodians and platform providers to improve processes, resolve exceptions, and ensure timely trade settlements.
The role also involves generating client reports, completing MiFID II transaction reporting, and providing key management information (MI) reports. Additionally, you’ll handle corporate actions, document business processes, and respond to queries professionally. You’ll be expected to assist team members through cross-training and help onboard new custodians and third-party providers.
This is a great opportunity for those looking to advance in financial services. If you're proactive, detail-oriented, and enjoy working collaboratively, we encourage you to apply!
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