Charles Stanley
Operations Administrator – Client Admin FTC
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About the Role
As an Operations Client Administrator, you’ll be part of a high‑performing operations team responsible for ensuring clients receive a seamless, accurate and compliant service. Your work will span client onboarding, account maintenance, technical queries, and ad hoc project support, all while upholding a strong Service 1st culture. This role is a 12 Month FTC.
Key Responsibilities
Client Onboarding
- Review and screen AML/KYC documentation across all account types (GIAs, ISAs, Pensions, OPBs, Trusts).
- Validate key documents including cheques and W‑8 forms.
- Open new accounts and monitor outstanding onboarding items.
- Handle internal and external onboarding queries within agreed service levels.
Client Administration
- Manage deceased accounts, including probate valuation requests.
- Process account closures and calculate closing fees.
- Maintain and update static client data.
- Allocate and track W‑8 forms and other regulatory documentation.
- Process payments, journals, ISA subscriptions, standing orders, and income sweeps.
- Apply ad hoc charges (custody, adviser, management, valuation fees).
- Respond to client and provider queries promptly and professionally.
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Operational Support
- Maintain accurate records and internal controls.
- Monitor team mailboxes and workflow queues to meet service standards.
- Keep departmental procedures up to date.
- Stay informed on regulatory and industry developments.
- Support the onboarding of new offices and participate in project work.
Skills & Experience
- Strong understanding of retail financial services, investment operations, or stockbroking.
- Experience with manual processing and operational workflows.
- Knowledge of GIA/ISA/OPB/SIPP products.
- Confident with AML/KYC requirements.
- Proficient in Microsoft Word and Excel.
- Industry exams (e.g., IOC) are an advantage.
What We’re Looking For
- A positive, proactive attitude and a commitment to exceptional service.
- Someone who enjoys being hands‑on and involved in all areas of the business.
- Strong organisational skills and the ability to multitask under pressure.
- Excellent communication skills, both written and verbal.
- High attention to detail and a quality‑driven approach.
- A team player who can also work independently and use initiative to solve problems.
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At Raymond James, we uphold the highest standards of integrity, professionalism, and ethical conduct in line with FCA expectations. All employees are expected to demonstrate behaviours that support a culture of transparency, accountability, and fairness. This includes acting with honesty, treating clients and colleagues with respect, and consistently making decisions that reflect the best interests of customers and the integrity of the financial system. Adherence to the FCA’s Conduct Rules is not only a regulatory requirement but a core part of our commitment to maintaining trust and confidence in the markets we serve.
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