JOB DESCRIPTION
Job Title
Job Reference Number
Role Type
Administrator, Client Output Team
615698
Temporary
Background on Close Asset
Management
A division of Close Brothers. Consists of Private Client Fund
Management, Specialist funds, Offshore and Trust business.
Purpose
The purpose of this role is to assist with functions performed within the
Client Output Department
Principal Responsibilities







Compliance




Regulatory Responsibilities




To perform various administration tasks required by the department
including checking of investments bought onto the in-house computer
system (against internal documentation), helping out in other areas of the
team (including Word Processing and the Mailroom) and generally
assisting with administration tasks as and when required.
To carry out duties on a timely basis to ensure that all the targets and
service levels as outlined on the Balanced Business Scorecard are met.
To ensure all departmental statistics are completed daily.
To assist with maintaining an up to date procedures manual.
To inform Manager of areas of concern and issues that arise.
To participate in the Appraisal and Development Scheme (required
competencies listed below).
To attend departmental meetings.
Understand, follow and demonstrate compliance with all relevant
internal and external rules, regulations and procedures that apply to
the conduct of the business in which you are involved. Specifically
this includes following principles and rules of the Financial Services
Authority (FSA) and the internal requirements set out in the
Compliance Manual, local and Group Compliance and Risk policies.
Respond to requests to implement on a timely basis all internal and
external audit points together with any issues raised by external
regulators, local Compliance/Risk or Group Compliance/Risk
Be aware of the Operational Risks associated with your role and act in
a manner that takes account of these risks and the relevant controls.
Follow the FSA’s Treating Customers Fairly (TCF) principle by
adhering to all relevant internal TCF policies, considering how TCF
affects your role and act in a manner which helps to ensure fair
outcomes for clients
To fully comply with the Financial Services and Markets Act 2000 (as
amended from time to time) and the rules of The Financial Services
Authority and any other applicable laws and regulations.
To communicate and escalate potential issues in a prompt and
effective manner
To participate in relevant training courses when requested to do so, in
particular anti-money laundering and market abuse training
To adhere to the relevant Asset Management division policies,




Extra Notes


including those on conflicts of interest, gifts and entertainment at all
times
To follow the Group and local rules on personal account dealing as
set out in the Group Personal Dealing Rules and supplemented by
specific additional local requirements set out in the relevant
Compliance Manual
To fully comply with the relevant Anti-Money Laundering regulations,
specifically relating to the verification of clients and report promptly
any knowledge or suspicion of money laundering activities to the
relevant MLRO
To fully comply with the FSA’s statement of Principle and Code of
Practice for Approved Persons, as set out in the FSA’s rules
To fully comply with the FSA’s statement of Principle and Code of
Practice for Approved Persons, as set out in the FSA’s rules and to
undertake and record sufficient appropriate CPD to evidence that you
have adequately maintained your competence
This job description is a guide and current duties of the job can be
varied from time to time
The job holder may be expected to carry out other duties as may be
requested of him/her that are deemed to be within their capabilities
We are an equal opportunity employer and we are opposed to discrimination on any grounds.
Please contact us if you are visiting our offices and require any form of personal assistance or physical adaptations to
be provided for your appointment. A member of staff will be happy to help.