Anthony Hooton

Experience

• 

  Pershing/Laurence

  Jan 1987 - Jan 1989

  Accounts clerk

  First position as a messenger then progressed to Unit trusts clerk

• 

  Barclays Life

  Jan 1989 - Jan 1991

  Accounts Clerk
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  Norwich Union

  Jan 1991 - Jan 1993

  Life Insurance & Pensions clerk - Sales support & Mortgage desk
• 

  Burns Brett

  Jan 1993 - Jan 1994

  Sales support to two Senior Financial Advisors
• 

  Independent Registrars Group

  Jan 1994 - Jan 1996

  Registration clerk

  Registration of clients stock holdings, general administration

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  Capita Independent Registrars Group

  Jan 1994 - Jan 1996

  Registrations Clerk
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  Winterflood Securities

  Oct 1996 - Aug 2004

  Settlements Clerk

  .• Gilts settlements - dealing with the back office settlement of daily trades, stock borrowing/returning using CREST.• European settlements - Settlement of daily trades using Cedel & Euroclear systems. (Now Clearstream) Stock borrowing/returning with Dresdner • US Settlements - Settlement of daily trades, stock borrowing/returning with Bank of New York using DTC systems.• Daily reconciliation of cash & stock positions.

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  Temple Bar International

  Oct 2004 - Dec 2011

  Client/Advisor Support - Administrator

  Head of International Customer Relations (Oct 2004 – Jan 2012)Main purpose of role:Client/Company Administrator for Temple Bar International (Offshore Investment Brokers). Formed part of a strong control team put together in 2004 specifically for the strict control of a busy income & new business/processing area. Reporting to the CEO and working alongside two senior colleagues, responsibilities included administration of both broker & client needs (new & existing business). • Main point of contact to existing and prospective clients, agents & product providers via telephone & email.• Obtain and supply investment updates/cash figures for clients’ investments.• Create quotation to issue of investment/savings fund documentation.• Company accounts reconciliation. Show less

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  IFDS

  Apr 2012 - now

  • Management of a team of administrators who process complaints received relating to IFDS business processing and administration, within agreed Service Level Agreements (SLAs) and Regulatory deadlines.• Maintain liaison between Management Companies, Customers, Client Relationship Managers (CRMs), IFDS Compliance and administration areas concerning the resolution of complaints.• Create weekly plans, validate and load work daily and communicate plan to team.• SLAs adhered to - ensure that all vetting and quality checking is completed by the close of business each day. Complete daily and weekly controls and maintain audit trail.• Maintain excellent knowledge of team client profiles and products and ensure the team have all the information they need to resolve complaints.• Participate in the recruitment process.• Chair and actively contribute to team/departmental meetings.• Assist every area of the business to improve overall Customer Service.• Be flexible and adaptable at all times in response to the challenging, changing environment.• To exercise due care and diligence, ensuring the areas the role is responsible for are organised and controlled.• To uphold responsibilities for risk and business continuity practices as appropriate.• To comply with the regulatory regimes in which IFDS operate.• Host and participate in review meetings with Clients.• Agree ex-gratia/compensation payments Show less Job description – Working as a senior member of the complaints team, covering all aspects of ISA’s, OEIC’s and ICVC’s. At present I represent M&G, Threadneedle, AXA, Architas, Wesleyan, Allianz Global and Aberdeen Unit Trust/Investment Trust Managers with regards to any complaints.Investigating all complaints received by IFDS to a resolution by telephone or in written format, whilst complying with agreed service levels and Regulatory requirements. Responsibilities include –• Quality checking of associates investigations and written response to complainants.• Agreeing/signing off an ex-gratia payment that may be due.• Production of a detailed sequence of events through to resolution letter and FOS referrals.• Administration of complaints received relating to IFDS business processing and administration, within agreed Service Level Agreements.• Liaison between Management Companies, Customers, Client Relationship Managers (CRM’s), IFDS Group Compliance and administration areas, concerning the resolution of complaints.• Establish and compile complaints root cause data to providing Management with analysis and regular feedback. Escalate root cause related issues to prompt the review of procedures and training requirements.Raising breaches and Management Feedback where necessary.• Maintain the complaint log to support the provision of monthly complaint and quality statistics for Client Administration Management.• CISI Investment Operations Certificate (IOC formerly known as IAQ programme) part one now passed.•CISI Rules & Regulations passed December 2014 Show less

  • Team Manager

    Oct 2014 - now

  • Team Leader - Investor Service Recovery

    Apr 2012 - Oct 2014