Overview
Employee compliance, personal account dealing, PA training, US/UK registrations, regulations exp, insider information, personal trading, knowledge of financial products (ETF, shares, bonds, derivatives, etc)
Purpose of the role:
– To investigate employee conduct exceptions, provide oversight & advice and mitigate compliance risks. Help maintain a culture of employee integrity and compliance within the organisation through delivery of appropriate training and execution of controls.
Accountabilities:
– Development and implementation of policies related to employee conduct that aligns with regulatory requirements and industry best practices.
– Implementation of surveillance and monitoring systems to track and report on employee behaviour.
– Development of training programmes to educate employees on conduct expectations, ethical standards, and regulatory obligations.
– Completion of task and exceptions from the following areas Breach Management & Reward, Global Registrations (including the UK Senior Managers Regime), Conduct Rules, Mandatory Block Leave and Personal Investments & Affiliations to ensure oversight of relevant Employee Conduct policy and standards.
Analyst Expectations:
– Will have an impact on the work of related teams within the area.
– Partner with other functions and business areas.
– Takes responsibility for end results of a team’s operational processing and activities.
– Escalate breaches of policies / procedure appropriately.
– Take responsibility for embedding new policies/ procedures adopted due to risk mitigation.
– Advise and influence decision making within own area of expertise.
– Take ownership for managing risk and strengthening controls in relation to the work you own or contribute to.
– Deliver your work and areas of responsibility in line with relevant rules, regulation and codes of conduct.
– Maintain and continually build an understanding of how own sub-function integrates with function, alongside knowledge of the organisations products, services and processes within the function.
– Demonstrate understanding of how areas coordinate and contribute to the achievement of the objectives of the organisation sub-function.
– Make evaluative judgements based on the analysis of factual information, paying attention to detail.
– Resolve problems by identifying and selecting solutions through the application of acquired technical experience and will be guided by precedents.
– Guide and persuade team members and communicate complex / sensitive information.
– Act as contact point for stakeholders outside of the immediate function, while building a network of contacts outside team and external to the organisation.