To provide post-trade administration support to the business, including Best Execution, Market Abuse, Transaction reporting, commission Stats, Stock/Cash Exception Controls and Broker Due Diligence.
To assist the Controls and Audit Manager in providing a monitoring and audit function on the Department's adherence to procedures, controls and regulatory requirements.
To provide regular and intelligent MI to the Controls and Audit Manager about work flow and areas of concern.Key Accountabilities and Main Responsibilities
Experience & Personal Attributes
- Best Execution - To ensure that CIRGT meets is regulatory responsibility to achieve Best Execution for all clients
- Market Abuse - To ensure that trades are analysed thoroughly and provide management with assurance that the business has achieved its regulatory obligation of post trade surveillance for Market Abuse.
- Transaction Reporting - To ensure all transactions are reported to regulatory time guidelines in the appropriate standard, ensuring that any required updates are completed on the date notified or identified.
- Commission Stats - Ensure that commission stats are updated on a daily basis
- Stock/Cash exceptions - To control the process of exceptions; notification, investigation and resolution, ensuring that regulated exceptions are resolved on the date of identification or else funded where required.
- Broker Due Diligence - Ensuring that the brokers used by the Share dealing department are up to date and have provided all relevant and up-to-date documentation.
- To meet Share dealing behavioural performance standards including attendance, team working and time keeping
- To adhere to policies and procedures at all times, escalating any issues which arise which may effect this
- Ensure relevant documented processes and procedures relating to these processes are accurate and regularly reviewed to remain fit for purpose in accordance with;
- The Clients' and Participants' requirements
- Adhering to FCA guidelines and other regulatory requirements/bodies as appropriate
- Adhering to Risk policy
- Maintain awareness of regulatory requirements for processes undertaken in fulfilling the role
- To deliver appropriate and accurate MI to Controls and Audit Assistant Manager and Transaction Reporting Officer to agreed timescales
- Ensure all incidents are handled in a timely manner and all ad-hoc duties are adhered to within timescales required.
- To complete all tasks accurately and in a timely manner
- To adopt a flexible approach in undertaking all aspects of work
- Other ad-hoc administrative duties related to share dealing will also be undertaken
- Ability to work under pressure and to tight deadlines
- Previous experience in a regulated, financial services environment
- Excellent accuracy and attention to detail
- Innovative and drives continuous improvement
- Ability to complete self-evaluation, understanding areas of development and strengths.
- Working knowledge of MS Word and MS Excel
- Create a culture of two way engagement, making the interaction productive and easy.
- Encourages a culture within the team to engage with the stakeholders in a way that forges strong working relationships and promotes openness.