Team Lead - Shareholder Disclosures

Job Title: Team Lead - Shareholder Disclosures

Reporting to:Head of Shareholder Disclosure Solutions

About the Role:

The Shareholder Disclosures Team deliver managed Shareholder Disclosures solutions and services to a range of leading international financial services clients. You will manage this team of staff and have responsibility for all aspects of delivery.

The Shareholder Disclosures Lead is responsible for the successful delivery, evolution, and commercial performance of the Shareholder Disclosures capability. The role spans operational leadership of the managed service and strategic ownership of the Shareholder Disclosures product roadmap within the Galaxy platform.

This position sits at the intersection of client delivery, regulatory expertise, product strategy, and internal team leadership, ensuring clients receive reliable, high-quality disclosure services while the platform evolves in line with regulatory change and market demand.

Purpose of Job:

To lead and have management oversight of the company's Shareholder Disclosures managed solutions and services, and to give assurance that disclosures activities are being performed in accordance with the Firm's organisational governance framework.

You will be adaptable and hard-working, and demonstrate strong communication skills both in relations with your team and with clients and prospects.

You will deliver the support and the operational excellence in accordance with the Company Mission and Vision, and in a manner supportive of the Funds-Axis Values and Business Culture.

Role Overview:

1.Deliver dynamic and robust leadership to the Shareholder Disclosures team.

2.Ultimate responsibility for oversight of internal Shareholder Disclosures processes.

3.Promote operational excellence within your team.

4.Provide leadership and support to your team members.

5.Provide subject matter expertise in the regulatory environment for shareholder disclosures

Your Experience

Minimum 5 years of experience in the similar role which includes people and process management.

You will have significant experience in global Shareholder Disclosures, including in large shareholder reporting, takeovers, foreign investment, and sensitive sectors. This will include detailed regulatory knowledge of filing obligations as well as practical experience of making disclosure filings in multiple international jurisdictions.

You will have significant experience in leading and managing teams to ensure compliance with SLAs and to deliver excellent customer service.

Main Responsibilities:

1.Manage and control the work of the Shareholder Disclosures team;

2.Have oversight over internal procedures to ensure that all processes are operating correctly, results are accurate and supported by strong data quality, in line with industry accreditations.

3.Ensure formal and informal contact with customers is being carried out by the Shareholder Disclosures team to ensure that the Company is providing the appropriate range and quality of solutions and services.

4.Utilising subject matter expertise, provide appropriate support to your team with client queries and issues that arise;

5.Ensure processes are conducted to continuously high standards and identify where efficiencies and improvements in processes can be made.

6.Ensure delivery of excellent customer service including evidencing using workflow management tools in line with Funds-Axis policies.

7.Ensure the highest standard of client relationship management by participating in all Galaxy Shareholder Disclosures demonstration calls, in line with Funds-Axis client governance policies.

8.Ensure appropriate resourcing is available on the team to deliver continued excellent customer service.

9.Ensure detailed Shareholder Disclosures MI is being delivered

10.Oversee the team's Shareholder Disclosures services and ensure the highest quality of output is adhered to.

KEY RESPONSIBILITIES

1. Managed Services & Operational Leadership

Client Delivery & Relationship Management

• Act as the primary senior owner for Shareholder Disclosure managed service clients.
• Ensure consistent, accurate, and timely delivery of disclosure monitoring, analysis, and filings across global regimes.
• Lead client onboarding, service reviews, and ongoing engagement activities.
• Translate regulatory complexity into clear, actionable guidance for clients.
• Handle service escalations, incident management, and remediation planning where required.

BAU Team Management

• Lead and develop the Shareholder Disclosures BAU operations team.
• Set clear performance expectations, workflows, and quality standards.
• Own resourcing models, capacity planning, and operational resilience.
• Establish and maintain documented operating procedures and controls.
• Drive continuous improvement across service efficiency, accuracy, and turnaround times.

Governance, Risk & Quality

• Ensure services operate in line with regulatory expectations and internal risk frameworks.
• Oversee quality assurance, peer review, and sign-off processes.
• Support audit, client assurance, and regulator-facing enquiries where required.
• Monitor operational KPIs and implement corrective actions where performance deviates.

2. Product Ownership & Roadmap Leadership (Galaxy Platform)

Product Strategy & Vision

• Own the end-to-end product vision for the Shareholder Disclosures module within Galaxy.
• Define product objectives aligned to client needs, regulatory developments, and commercial strategy.
• Maintain a clear and prioritised product roadmap.

Requirements & Delivery

• Translate regulatory rules and client use cases into structured product requirements.
• Work closely with technology, regulatory intelligence, and data teams to deliver enhancements.
• Prioritise features, enhancements, and technical improvements using evidence-based criteria.
• Support testing, validation, and release management for new functionality.

Regulatory Change & Market Insight

• Track global developments across shareholder disclosure, major holdings, takeovers, short selling, issuer limits, and related regimes.
• Ensure Galaxy logic models and workflows remain accurate, scalable, and auditable.
• Identify opportunities to expand coverage, improve automation, or introduce new value-added capabilities.

Commercial Enablement

• Support sales, pre-sales, and marketing with product positioning, demos, and client-facing materials.
• Contribute to pricing strategy, packaging, and managed service propositions.
• Gather structured client feedback to inform roadmap decisions.

1. Team Leadership, Support & Performance Management

Ensuring staff avail of all training resources provided and creating a positive culture of learning. Ownership of the Shareholder Disclosures training materials and regular review of these for fitness for purpose. Identifying training and knowledge gaps and closing these.

Identifying resourcing gaps on your team and resolving these.

Managing HR and disciplinary issues as a point of escalation for the team.

Providing advice, guidance, and support to the team members on your team, including through personal development meetings, one to ones and objective setting as part of appraisals

Holding regular meetings with your team collectively and schedule one-to-ones where appropriate to understand any technical issues arising and escalate these where appropriate.

Holding regular reviews against objectives and personal development plans, including through appraisals.

Schedule team training and support your team in delivering this, ensuring this remains appropriate to their training requirements and active participation by all team members.

2.Internal Governance/Operational Excellence

• Provision of transparent monthly highlight reports and solutions to issues identified from these reports, including:
• SLA compliance
• Disclosure Rule Coverage Status
• Open Client Queries
• Data Quality
• Refinitiv unique securities overview
• Staff Utilisation
• Efficiency/Improvements
• Other team issues (e.g. resourcing)

Owning the team Procedures and ensuring these are maintained up-to-date for ISO and internal purposes, including conducting periodic internal audits for compliance with these procedures

• Establishing a formal Risks and Controls framework for the team, ensuring all risks are logged and have action plans and appropriate controls in place, with regular review and testing

Managing the Shareholder Disclosures Lead's responsibility for Information Security and Business Continuity Planning for the team, ensuring compliance with all policies and procedures in this regard and regular testing, as well as escalating any breaches or gaps for discussion as appropriate with the Managing Director

• Ensuring team adoption of all productivity and workflow tools and regular reporting on their use
• Ensuring compliance with applicable laws and regulations, including ensuring that the team and clients are fully aware of any developments that may impact processes or results.

3.Cross-teams liaison

You will oversee the support being provided by other teams in the business to the Shareholder Disclosures team, including Intelligent Automations, Data Operations, and Rules. You will review KPIs and report these upwards. You will act as point of escalation where deadlines have not been met.

You will actively engage with Relationship Managers, Sales and Projects to ensure the wider business is well briefed and prepared to onboard new clients for Shareholder Disclosures without impact on headcount where possible. You will provide regular reporting and KPIs on this and oversee handovers and signoffs for quality assurance.