Lead Associate SME, Corporate Actions

London, England, United Kingdom

3/13/2025

The Lead Associate - Corporate Actions is responsible for the administration and processing of corporate actions and dividends for the firm and clients of Winterflood Business Services (WBS), adhering to regulatory & product specific requirements.

The incumbent will also act as a Subject Matter Expert (SME) across the operations department and cross functional teams, with clients and also in delivering functional change.

Key Priorities

• Processing and approval of corporate actions, dividends, income, fund conversions and any associated claims; ensuring that they are completed accurately and on time.
• Management of primary and secondary placing events.
• Ensuring the timely processing and delivery of shareholder information, such as proxy voting or shareholder disclosure to companies.
• Ensure internal and external Service Level Agreements are adhered to and ensure high levels of service are provided to clients and stakeholders, with a focus on ensuring good client outcomes.
• Identifying and addressing any issues or challenges that may arise, such as delays, communication breakdowns, or other obstacles, escalating where appropriate.
• Maintain accurate records of all corporate actions, dividends, and other income events, ensuring that they are properly documented and reported.
• Ensure all daily & periodic tasks are completed, including the investigation and resolution of reconciliation discrepancies.
• Build and maintaining relationships with clients, custodians, transfer agents, vendors, and other key stakeholders. This may involve engaging with clients to understand their needs, addressing any issues that arise, and ensuring that all parties are satisfied with the service provided.
• Maintain compliance with regulations, managing operational risks, and assist in implementing appropriate risk management frameworks.
• Identifying opportunities to improve processes and procedures within Corporate Actions and assist the Senior Manager - Asset Servicing to deliver change. This may involve acting as an SME or project lead in streamlining workflows, automating tasks, and leveraging technology to improve efficiency and reduce costs.
• Assist in the production and analysis of reporting for senior management on the performance of the corporate actions function.
  
  
  
  

Essential

• Experience and knowledge of Corporate Actions and Transfers, the trading cycle and how this is impacted by corporate events, as well as the ecosystem WBS operates within.
• Ability to foster a strong positive culture (inclusive of the achievement of D&I objectives) aligned to the overall Company culture within a division or significant department.
• Track record of maintaining high performance standards; clear focus and commitment to driving great customer outcomes, profitability, and shareholder value.
• Ability to maintain a strong risk management and control framework throughout a significant market making or related department, inclusive of the ability to identify, assess, mitigate, and monitor risks and the offsetting controls.
• Working knowledge of the regulatory frameworks and requirements that apply to the business, including the CASS rules when managing client’s money or assets.
  
  
  
  

Desired

• Current working knowledge of external systems, CREST, ICE, UBS
• 3 years + experience within an operational wealth platform team
• CISI qualification
  
  
  
  

Benefits

• Competitive salary inclusive of discretionary annual bonus & annual pay review
• Work Abroad Policy for up to 15 days per year
• 25 days holiday plus bank holidays and additional well-being day
• Option to purchase an additional 5 days holiday per year
• Flexible working options available, including hybrid working ( typically 3 days in the office and 2 days from home per week )
• Pension scheme up to 10% employer contribution
• Sharesave scheme
• Income Protection & Life insurance (4 x salary core level of cover)
• Private health care via BUPA
• Employee Assistance Programme
• Discounted Gym Membership
• Variety of travel to work schemes
  
  
  
  

At Close Brothers we look to recruit individuals from all different backgrounds and encourage you to apply even if you don’t tick every box. We celebrate diversity, promote inclusivity and are open to discuss flexible work options to help you balance your work and home life.

We appreciate that from time to time, recruitment agencies will have speculative CVs that they may wish to submit to our Talent Acquisition team in relation to a specific role.

To avoid any ambiguity around fees, please note that speculative CVs received by Close Brothers, that have not been authorised in advance, by us, will be ineligible for an agency fee. Thank you.