Securities Operations Technical specialist

Permanent contract|London|Banking operations processing

Securities Operations Technical specialist

Kleinwort Hambros
London, United Kingdom Permanent contract Banking operations processing


Description of the Business Line or Department

The Securities Operations Department is a function which delivers end-to-end domestic and international asset servicing capabilities, including Settlements, Corporate Actions and Income, Transitions, and Controls. The department supports the front and middle offices, in delivering high quality services to our clients across Jersey, Guernsey, London, Gibraltar and Bangalore. In addition to providing business as usual operational processes, we also execute change programs, constant improvement initiatives and create new operational capabilities to drive efficiency, improve client service levels, and reduce our operational risk.

Summary of the key purposes of the role

Our Securities Operations dept support a wide range of functions, particularly within Settlements, Transitions, Corporate Actions and Income, Stock Data Admin and Pricing. This involves close collaboration with other departments such as Treasury, Banking Operations and Front Office. We ensure best practice by controlling and mitigating operational risk. Knowledge and experience of working with or in these areas is important to ensure the successful candidate can operate effectively from an early stage.

Experience of working with counterparties such as brokers, custodians, data providers, depositaries and their respective online systems is essential. A good working knowledge of SWIFT, IDC and Bloomberg would be a distinct advantage.

The ideal candidate is likely to have a financial services background in securities/investment operations and will be self-motivated to provide consistently strong results. He or she should be keen to identify and resolve issues as they arise in a proactive and positive manner, while challenging existing procedures and controls. Successful candidates must be adaptable, proactive and enthusiastic while working across the different Teams in Securities Operations.

In addition, we undertake an ongoing improvement programme with many small and large projects and initiatives in flight at any given time. Our Securities Operations Specialists contribute to these initiatives so any relevant project or change management experience will be an advantage.

Summary of responsibilities

  • Work in a positive and proactive manner to deliver a high quality and successful service for our clients and counterparties.
  • Maintain oversight and constant communication over our third-party operations to ensure they are functioning to the expected quality and work closely with their respective teams to solve any escalations.
  • Assist with any securities operations functions when required, including for example stock breaks, settlements, static data, pricing controls, MI, audit, stock master records, stock pricing, or custodian management.
  • Completion of fund documentation and relating AML/KYC requirements.
  • Identify and resolve workflow issues, check daily output standards, escalating issues and progressing solutions with internal and external parties.
  • Monitor corporate action events, how they are scheduled in the system and check allocations to client accounts according to their mandate or election.
  • Support the Senior Manager of Securities Operations and BAU teams across all departments to maintain an effective combined SGKH operational model.
  • Support ad hoc projects to improve processes and structures.
  • Contribute constructively to the development of the Securities Operations Department by suggesting ideas for improving efficiency or process quality.
  • Be an enabler of change, accepting and promoting changes to procedures and departmental organisation.
  • Welcome changes to their role, being prepared to accept new responsibilities and move from one role to another across Teams in Securities Operations as our change initiatives are implemented.
  • Support other Operational teams as required

Profile required


  • Self-directed, with the ability to work independently, highly motivated and a positive can-do attitude are key.
  • Experience of working in securities/investment operations processing teams.
  • Strong knowledge of the securities markets, their regulation and reporting requirements.
  • Good working knowledge of corporate actions, income, settlements, transitions, stock data and pricing.
  • Understanding of security static data and data providers such as Morningstar, IDC, Bloomberg.
  • Good understanding of fund dealing/settlement, along with the completion of corresponding documentation and AML/KYC etc.
  • Understanding of trading fees including commissions, SDRT and PTM levy.
  • Knowledge of securities life cycle to include equities (e.g. ETIs, managed funds, REITs), fixed income (e.g. deposits, bonds, gilts), private equity and hedge funds, SIPPs and ISAs, commodities and certificates.
  • The ability to interact with business stakeholders to understand complex requirements.
  • Ability to communicate to a high standard across all levels of the business. 

Why join us

People join for the impact they can have on us. They stay for the impact we have on them. A flatter structure offers visibility and exposure beyond that of our competitors, so you know our names, and we know yours. It's personable, human, and inspires success through passion. By encouraging open mindedness and a willingness to share ideas, we have adapted to market changes and thrived through innovation. Bringing words like “hard work” and “dedication” together with “community” and “respect” has enabled us to work collaboratively and build our future together. We call this Team Spirit and it's what makes us different. It's what makes you different.

Business insight

If you feel you have the required experience and qualifications, then please apply to the SG Resourcing Team, and we will manage your application. At Société Générale, we believe our people are our strength and are core to the success of our business. As such, we search for, recruit and appoint the best available person on the basis of aptitude and ability, regardless of sex, marital or civil partnership status, race, colour, nationality, ethnic or national origins, pregnancy, disability, age, sexual orientation, religion, belief or gender identity.

We are an equal opportunities employer and we are proud to make diversity a strength for our company. Societe Generale is committed to recognizing and promoting all talents, regardless of their beliefs, age, disability, parental status, ethnic origin, nationality, gender identity, sexual orientation, membership of a political, religious, trade union or minority organisation, or any other characteristic that could be subject to discrimination.

Reference: 22000WH4
Entity: Kleinwort Hambros
Starting date: 2023/02/26
Publication date: 2022/11/24