Fund Operations & Settlements Executive

Puma Capital Group; City of Westminster; On-site; GBP 60,000 - 90,000; Full time

Job summary

Puma Capital Group in the United Kingdom seeks a Fund Operations & Settlements Executive to manage the lifecycle of investment transactions from allotment through to exit, delivering exceptional service to clients and internal teams by processing requests within strict SLAs and maintaining data integrity.

You will work with Sales, Client Relations, Finance and Compliance, driving process improvements, digitisation, and automation initiatives while ensuring accurate settlement, reconciliation and

Qualifications

• Proven experience in Investment Operations, Fund Operations, Settlements or a Middle Office environment.
• Strong understanding of the financial services industry; experience with tax-efficient investment products is advantageous.
• Experience working with custodians, registrars, transfer agents, brokers and other third-party service providers.
• Sound knowledge of the trade lifecycle, including trade settlement, reconciliation and issue resolution.
• Strong Excel skills, with the ability to analyse, manipulate and validate data.
• Exposure to VBA, AI tools and workflow automation, or a willingness to develop these skills.
• A process improvement mindset, with the ability to identify opportunities to streamline, digitise and automate manual processes.
• Highly organised with strong attention to detail and a commitment to accuracy.
• Ability to manage competing priorities and meet deadlines in a fast-paced environment.
• Confident communicator with strong stakeholder management skills.
• IMC, IOC or other relevant industry qualifications, or a willingness to study towards them.

Responsibilities

• Support the operational delivery of Puma’s investment products, liaising with custodians and counterparties keeping to agreed SLAs
• Process investor account openings, subscriptions, transfers and redemptions
• Monitor weekly trading conducted by the front office, from execution through to settlement and being on hand to help to resolve failed trades and other settlement issues
• Manage the regular adviser fee and AMC calculation process and ensure timely delivery within SLA
• Reviewing and actioning regular payments between internal accounts and to third parties
• Reconcile trade instructions and ensure accurate settlement of cash and stock transactions with agreed deadlines
• Corporate Action monitoring
• Monitoring Transaction Reporting in line with current MiFiD II regulations
• Coordinate and support allotments, liaising with lawyers and external providers to ensure minutes are signed and shares are allotted in a timely manner
• Support periodic product launches and changesEnsuring data integrity is maintained across all systems with oversight of cash reconciliation for investor accounts
• Escalate operational incidents, breaches and risks promptly
• Identify opportunities to improve operational efficiency and automation using AI
• Assist with procedure documentation and operational controls

Skills

Investment Operations

Fund Operations

Trade Lifecycle

Excel Skills

Process Improvement

Stakeholder Management

Communication

AI Tools

Time Management

IMC/IOC

Tools

VBA

Automation Tools

Workflow Automation

Job description

The Fund Operations & Settlements Executive is responsible for managing any operational activities throughout our client’s investment cycle, from allotment through to exit. The individual will deliver excellent service to our external clients and internal business units, by ensuring they are processing all operational requests within the agreed SLAs to an exceptional standard.

Working closely with the Head of Operations and Data, this role will help drive process improvements, identifying opportunities to streamline, digitise and automate manual activities to enhance efficiency and strengthen operational controls.

The successful candidate will work collaborate closely with Sales, Client Relations, Finance, Compliance and Product teams, as well as external custodians, registrars, platforms, brokers and counterparties, ensuring the smooth delivery of operational services and excellent client outcomes.

Key Responsibilities

• Support the operational delivery of Puma’s investment products, liaising with custodians and counterparties keeping to agreed SLAs
• Process investor account openings, subscriptions, transfers and redemptions
• Monitor weekly trading conducted by the front office, from execution through to settlement and being on hand to help to resolve failed trades and other settlement issues
• Manage the regular adviser fee and AMC calculation process and ensure timely delivery within SLA
• Reviewing and actioning regular payments between internal accounts and to third parties
• Reconcile trade instructions and ensure accurate settlement of cash and stock transactions with agreed deadlines
• Corporate Action monitoring
• Monitoring Transaction Reporting in line with current MiFiD II regulations
• Coordinate and support allotments, liaising with lawyers and external providers to ensure minutes are signed and shares are allotted in a timely manner
• Support periodic product launches and changesEnsuring data integrity is maintained across all systems with oversight of cash reconciliation for investor accounts
• Escalate operational incidents, breaches and risks promptly
• Identify opportunities to improve operational efficiency and automation using AI
• Assist with procedure documentation and operational controls

Experience and Skills required

• Proven experience in Investment Operations, Fund Operations, Settlements or a Middle Office environment.
• Strong understanding of the financial services industry; experience with tax-efficient investment products is advantageous.
• Experience working with custodians, registrars, transfer agents, brokers and other third-party service providers.
• Sound knowledge of the trade lifecycle, including trade settlement, reconciliation and issue resolution.
• Strong Excel skills, with the ability to analyse, manipulate and validate data.
• Exposure to VBA, AI tools and workflow automation, or a willingness to develop these skills.
• A process improvement mindset, with the ability to identify opportunities to streamline, digitise and automate manual processes.
• Highly organised with strong attention to detail and a commitment to accuracy.
• Ability to manage competing priorities and meet deadlines in a fast-paced environment.
• Confident communicator with strong stakeholder management skills.
• IMC, IOC or other relevant industry qualifications, or a willingness to study towards them.

Personal Attributes

• Kind
• Values-driven
• Excellent communicator
• Adaptable and willing to get stuck into whatever needs doing
• Depth of character and gravitas but operating with humility
• The drive and attitude to excel in a high performing environment whilst maintaining high levels of integrity
• Energy, dynamism, and passion for complex business challenge
• Organised, rigorous and disciplined
• Pragmatic and practical
• Commercially minded with a solution focused approach to problem-solving