Our client is a leading consulting firm. They are looking to engage with an Analyst who can support the delivery lead and has a working knowledge of processes, products, tools, and regulations of investment compliance monitoring.
As per the UK Financial Conduct Authority’s (FCA) rules (Based on the implementation of the EU Markets in Financial Instruments Directive - MiFID), XXXX is obliged to take all reasonable steps for our professional clients to achieve the best possible result for them when executing orders on their behalf. The Equities Controls and Monitoring Team (ECMT) is part of the first line Controls and Assurance team. As an Investment Compliance Monitoring professional within the team, you will be required to conduct regular risk-based assessments and reporting of the Enhanced Due Diligence (EDD) rule exceptions generated by the Dealing Operations (DO) team, for presentation to the appropriate internal governance forums. You will communicate with Dealers and Fund Managers as required for the purpose of investment compliance monitoring.
• Assist in the monthly risk-based assessment of FCA Conduct of Business (COBs) rule exceptions generated by the Dealing Operations team.
• Assist in sample selection of exceptions, testing, analyzing data, drafting of issues/observations.
• Co-ordinate and respond to testing requirements.
• Aid documentation of the key processes and associated controls being examined.
• Understand, enhance, and deliver improved business processes.
• Create good working relationships with stakeholders at functional levels.
• Assist in the production of MI or other information requirements and assist in the provision of regular reporting to relevant oversight committees and boards
• Experience in investment/fund management/asset management compliance monitoring within Financial Services, Investment firms, Big 4 Audit Firms or other Advisory or Consulting Firms
• Good understanding of the COBS / MiFID regulations
• Understanding of Equities including Futures, Options, Exchange Traded Funds, Convertible Bonds, etc.
• Understanding of other financial instruments across asset classes like Fixed Income, Real Estate, Alternatives, Multi-Asset, etc would e a significant plus.
• Microsoft Office (Excel, Word, PowerPoint, etc) skills
• Excellent partnership and stakeholder management skills as well as build strong relationships and work collaboratively with teams across the business
• Experience of liaising, influencing, and negotiating effectively with all internal and external parties and stakeholders.
• Excellent written and oral communication and analytical skills.