Dealing Officer

• May 2017 - Present

Dealing Administrator

• Jul 2016 - Oct 2016

Executed client instructions in respect of collective investments, foreign exchanges, and structured products. Completed account opening forms and AML documentation as requested by fund administrators. Took receipt of telephone trading instructions in respect of UK equities and relayed orders to the equity trading desk. Answered queries from clients and fund administrators. Executed client instructions in respect of collective investments, foreign exchanges, and structured products. Completed account opening forms and AML documentation as requested by fund administrators. Took receipt of telephone trading instructions in respect of UK equities and relayed orders to the equity trading desk. Answered queries from clients and fund administrators.

Executive Assistant/PA to Managing Director

• Oct 2012 - Mar 2016

Performed usual PA tasks for the Managing Director and Executive Team including diary management, travel arrangements, and preparation for meetings. Also monitored email inbox for Managing Director, personally dealing with queries where possible and delegating when required. My strength here was my in-depth experience in the technical aspects of the business and my ability to respond to queries sent to the Managing Director with little personal involvement from him.Assumed the role of Secretary to IOM Management/Executive Committee. Scheduled monthly meetings, reviewed and issued papers, took minutes and monitored action points and maintained Terms of Reference. Took a leading role as the IOM based representative for HR related tasks, assisting CMI colleagues, and liaising with Lloyds Banking Group HR business partners and senior managers. This included assisting with annual bonus calculations, taking notes in interviews and disciplinary/appeal hearings. Regularly reviewed, on behalf of the Managing Director, Key Performance Indicators for the CMI companies including monthly complaint/compliments reports investigating any key themes/areas of concern. Reviewed cost centre reports against budgets, including invoice management. Reviewed/checked documents prior to consideration/signing by Managing Director. Provided opinion and support with complex queries and complaints. Contributed to the implementation of Company projects often acting as a key representative and subject matter expert liaising with senior colleagues in the Lloyds Banking Group (LBG). This included the divestment of the CMI Group of Companies from LBG. I was heavily involved in the preparation of the Data Room, gathering and uploading the required information and presenting to CMI IOM and LBG management. I worked closely with the MD and key senior staff in LBG on developing the communications to colleagues in respect of the divestments and assisted with the completion Board meetings. Show less

Customer Relations Executive - Complaints

• Jun 2010 - Sep 2012

Investigated and resolved customer complaints to a high standard in accordance with internal and regulatory service standards. Successfully negotiated customer redress in complex cases. Level of Ombudsman referrals was minimal. Instrumental in implementing a process for recording and monitoring customer dissatisfaction and delivered a colleague training programme. In the majority of cases dissatisfactions were successfully resolved avoiding escalation to complaint level and were frequently turned in to compliments.Performed root cause analysis of complaints and dissatisfactions. Challenged procedures and suggested improvements. Consistently promoted the importance of excellent customer service throughout the business and received two recognition awards for customer service and numerous compliments from colleagues and customers. Proactive in customer retention activity. This was a key area of focus for the company following the closure to new business. Provided coaching and support to colleagues in the customer contact team and when required took ownership of more complex queries ensuring they were investigated thoroughly and resolved to the customer’s satisfaction. Compiled monthly reports and statistics flagging any common themes and areas of concern. Show less

PA (Executive & Technical Support) to Senior Manager, Personal Portfolio Services & Investments

• Jun 2008 - May 2010

Provided technical investment/operational and product support to the Manager, wider department and the Management Team.Answered queries from sales consultants and IFAs on behalf of the Department Manager. This would often mean acting as a troubleshooter liaising with various teams to find solutions to potential problems. Assisted with recruitment of colleagues in the department (including a new Investment Team Manager) from the selection of candidates, preparation of interview questions, to note taking during the interviews. Also provided training and ongoing support to the newly recruited Team Manager where required.Trained new Senior Dealer and provided ongoing support and coaching. Assisted with production of Management Information and monitored cost centre activity and department budget.Encouraged colleagues to get involved with community initiatives and helped raise the profile of the company in the local community. Performed role of PA to Department Manager, including diary management, travel arrangements, monitoring of email inbox, arranging IFA and sales visits Show less

Team Manager - Dealing and Settlements

• Sep 2005 - May 2008

Led 2 teams with 10-12 colleagues. Managed the day-to-day running of both teams, placing and settling trades in unit trusts, equities, bonds and cash deposits on behalf of Portfolio Bond customers. Also had responsibility for transfers, corporate actions, dividend and investment credit processing and stock and cash reconciliations.Monitored Key Performance Indicators and produced Management Information and monthly reports. Successfully reduced the number of outstanding cash and stock reconciliations by: encouraging colleagues to consider the root cause of mistakes; how they could be prevented in the future; and most importantly the potential impact to the end customer. Responsible for recruitment and training of new colleagues. Held regular one-to-one meetings with each colleague to discuss performance and support their personal development. Encouraged collaborative working between both teams and improved morale by holding regular team meetings to update on progress against targets and discuss areas of concern. This was also an opportunity to inform the team about progress in other areas of the department and celebrate successes. Show less

Portfolio Bond Dealer

• 2004 - 2005

Senior Administrator, Front Office (Contact Centre)

• 2000 - 2004

Senior Dealer/Team Leader

• 1996 - 2000

Portfolio Bond Dealer

• 1994 - 1996

Insurance and Broker Fund pricing

• 1990 - 1994