Controls and Audit Supervisor
£25,000 - £29,000
This company is a highly regarded asset management firm based in West Kent, are currently looking to recruit a supervisor within their Controls and Audit team. The role is suitable for someone with solid understanding of "best execution" and "Market Abuse" rules and regulations. You'll receive full training and support to succeed in the role, and you'll be offered a strong career path to assist with your own personal development.
Reporting directly to the assistant manager, you'll be assisting in the leadership of the Controls and Audit team. You'll be providing and monitoring an audit function to deliver assurance to Senior Management on the department's adherence to documented processes and procedures; and that these are subject to regular review to current regulations. Further to this you'll be providing senior Management, you'll be tasked with regular and intelligent MI.
You'll also be tasked with training, development and support of the team through performance coaching and regular appraisals.
- Continually review and update management controls and procedures identifying areas of emerging operational risk and taking the relevant steps to mitigate these risks ensuring regulatory compliance at all times.
- Monitor and report on the department's adherence to applicable best execution rules promoting regulatory requirements to those involved ensuring that procedures are reviewed to ensure the department operates inline with current rules and relevant guidance from thematic reviews and other reports.
- Oversee post trade surveillance process to identify and report any potential market abuse.
- Produce insightful and intelligent MI to support the identification of trends and risk, provide synopsis of this MI on a regular basis to Senior Management.
- Undertake periodic reviews of business processes and ensuring these are aligned to current rules and regulatory requirements, and involvement with future regulatory developments.
- Assisting with the management of the extending team, including performance measurements, regular 1-2-1's and development plans.
The successful candidate:
To be considered for this excellent supervisory role, you should meet the following criteria:
- In Depth knowledge and understanding of the rules and regulations surrounding Best Execution and market Abuse.
- Ability to review and interpret FCA regulations and output of any relevant thematic reviews, identifying any gaps in existing processes and taking steps to address.
- High attention to detail.
- Strong decision making skills.
- Previous supervisory experience in desirable but candidates who have had a senior role would be considered.
Note to the candidates: Please note that due to the high amount of responses we will only reply to candidates that fit our clients' strict requirement.
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