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Dealing, Box Management, Amendments and Complex Dealing Manager

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Accounting Portfolio / Fund
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74397 Requisition #
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The Transfer Agency department provides a third party fund administration service to numerous fund management companies covering the full range of shareholder servicing functions including dealing, registration, settlements, distributions, commissions and statements.


The Team’s main roles are to ensure:


That for all dealing instructions including complex and amendments that are received are processed accurately across locations (London and India), within SLA (Service Level Agreements), VP (Valuation Points), and Regulatory/Client requirements.  

Dealing and Box Management oversight of India locations 

Dealing instructions are received from various platforms and dealing systems, from institutional and retail investors and typically will instruct purchase, redemption and switch instructions from a widely distributed client base, including oversea’ s. 

The orders will be received to deal via Postal, Email and Faxes which will all be fed into AG (workflow systems) and will include settlement foreign exchange transactions and cross jurisdictional switch instructions.


The team also perform a client/investor and point of contact to answer complex or technical dealing queries and liaise with internal teams and external clients (both retail, institutional, Client and Auditors etc), senior management and internal stakeholders


The key responsibilities of the role include:


Ensure all your partners are SME’s  (subject matter expert) and yourself are able to reach decisions across your team and for business areas/locations

Oversee, monitor and give guidance/sign off  on  the process for a wide range of transactions/funds  from start to end  

Oversee and Monitor of QA (Quality Assurance) and that spot checks are taking place to ensure checks are performed on processed work items from India/UK

Ensure all tasks within  the workflow and enquires via email and other teams are processed within the SLA (Service Level Agreements) and VP (Valuation Points)

Follow and ensure all partners are at all times are following processes, checklists, procedures and client requirements 

Maintain a close working relationship with both internal and external  clients and partners

Ensure yours and teams  accuracy levels remain high and that they all, understand the impact errors and breaches that are occurring 

Deliver green KPI (Key Performance Indicators) as a team

Escalate and report where required, as well as being an escalation point 

Complete all mandatory training  within the set deadlines

Ensure that training and supporting of partners is being completed across locations 

Sponsor , own the delivering/ Understand/Communicate  new and existing  regulatory, changes and client requirements  

Ensure that key trends and analysis is taking place to identify and action taken across the work that is being completed by your department across locations 

Ensuring breaches, incidents and near misses are being raised and completed within SLA’s, the end to end impact and resolution are being considered/reviewed and that Preventative actions are being tracked and completed  

Ensure your team across locations remain scalable, stable and within budget/financials 

Support and check Internal/Client Audit and client

Seeking and encouraging others and yourself  to put forward and present their ideas and solutions

Own, support and communicate the creation/updates of new processes, controls, checklists and procedures

Undertake one:one’s, setting of goals and objectives, appraisals, recruitment, development. team meetings and performance management/PIPS where required 

Partake in team meetings across business area’s/locations 

As directed partake/or lead  in Projects and changes 

Deputise of your manager as directed/required 

Maintain a positive attitude, be a role model/ professional at all times  

The successful candidate will benefit from having:


Demonstrate a detailed understanding of Business Support and Controls, Document Management, Dealing and Box Management

Able to lead and make decisions 

Demonstrate an understanding the overall TA model and downstream/upstream impacts 

Previous experience of managing a team is desirable but not essential

Ability to work on own initiative and multi task

Extensive knowledge of collective investment scheme administration and the regulatory environment

Threshold Competency (IAQ qualified or within 2 years of commencing within this role)

General OEIC Admin experience desirable

Ability to plan at the tactical and strategic level

Ability to work to set deadlines 

Ability to use Excel and Word competently 

Attention to detail and strong accuracy 

Analytical skills are required to research and resolve enquiries

Good communication skills both written and verbally 

Customer Service experience

Knowledge and understanding of FCA / HMRC/CASS regulatory Environment



About Northern Trust 


For more than a century, Northern Trust has worked hard building our legacy of outstanding service, expertise and integrity. From a Chicago-based bank founded in 1889, we now have more than 20 international locations and 18,500 employees globally. We serve the world’s most-sophisticated clients – from sovereign wealth funds and the wealthiest individuals and families, to the most-successful hedge funds and corporate brands.


We burnished our reputation as a global leader delivering innovative investment management, asset and fund administration, fiduciary and banking solutions enabled by sophisticated, leading technology. And through it all, we continually laid a solid, forward-looking foundation on which future generations can continue growing and achieving greater.


Northern Trust proudly cultivates a diverse workforce, to serve our diverse client base. We strongly believe that diversity of experience contributes to a broader collective perspective that will consistently lead to a better company. We encourage applications from the best regardless of ethnicity, gender, gender identity, age, nationality, disability, sexual orientation, education, socio-economic background, parental and caring status, or religion. 


As of December 31, 2018, Northern Trust Corporation had:


$10.1 trillion in assets under custody/administration

$7.6 trillion in assets under custody

$1.1 trillion in assets under management

$132 billion in banking assets 



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Reasonable Accommodation
Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If, because of a medical condition or disability, you need a reasonable accommodation for any part of the employment process, please email our HR Service Center or call 1-800-807-0302 (North America), +630-276-5353 (Asia Pacific), +44(0)207 982 4357 (Europe, Middle East and Africa) and let us know the nature of your request and your contact information.

Equal Employment Opportunity Statements
  • APAC EEO Statement
    • APAC EEO STATEMENT

      It is the policy and practice of Northern Trust to provide equal employment opportunities to all employees and applicants. Northern Trust does not discriminate on the basis of race, colour, religion or belief, nationality, ethnic or national origin, sex, marital status, sexual orientation, disability or age. All employment decisions will be made in a non-discriminatory manner in accordance with our obligations under the law and codes of practice. This includes human resources’ decisions relating to recruitment, terms and conditions of employment, transfers, promotions and access to learning and development.

  • Canada EEO Statement
    • Canada EEO STATEMENT

      Northern Trust is an Equal Opportunity Employer. Hiring and other employment decisions at Northern Trust are made without regard to race, colour, religion, sex, ancestry, national origin, ethnic origin, age, disability, citizenship, veteran status, sexual orientation, record of offences, marital status, family status, or any other characteristic protected by federal, provincial, or local law, regulation, or ordinance.

  • EMEA EEO Statement
    • EMEA EEO STATEMENT

      It is the policy and practice of Northern Trust to provide equal employment opportunities to all employees and applicants. Northern Trust does not discriminate on the basis of race, colour, religion or belief, nationality, ethnic or national origin, sex, marital status, sexual orientation, disability or age. All employment decisions will be made in a non-discriminatory manner in accordance with our obligations under the law and codes of practice. This includes human resources’ decisions relating to recruitment, terms and conditions of employment, transfers, promotions and access to learning and development.

  • USA EEO Statement
    • USA EEO STATEMENT

      It is the policy of The Northern Trust Company to afford equal opportunity in all phases of employment without regard to an individual's age, race, color, religion, creed, gender, national origin, citizenship status, marital status, pregnancy, sexual orientation, gender identity, gender expression, genetic tests and information, physical or mental disability, protected veteran status or any other legally protected status. EEO poster (U.S.)EEO is Law Poster Supplement