Business Process and Controls Analyst recruitment
POSITION:
Business Process and Controls Analyst
ASSIGNMENT NO:
1016462
LOCATION:
London
About This Role
To provide support to the Unit Linked Investment team so that it operates in controlled environment with its risk and escalation framework.
Responsibilities
Ø Act as advisor on the changes to the UK regulatory regime and legislation to the Unit Linked Investment (ULI) team.
Ø Work in developing suitable controls and review programme (systems, data and processes) and following through to provide suitable checking and reporting. Assist teams in developing suitable documentation and procedures.
Ø Work closely with Technical Compliance, internal audit and risk functions to ensure that the appropriate controls are in place and where needed work to assist in suitable treatments / actions. In addition liaise with the different lines of defence to support action closure and evidence gathering.
Ø Help in the management of breaches and escalation notices, working with individuals to bring to a timely conclusion.
Ø Work with all areas in ULI to develop suitable MI reporting to ensure that trends and potential issues are identified as soon as possible and performance indicators can be measured and presented to senior management to help manage the area. Create and maintain Dashboards for different levels of management.
Ø Help in the management of business and supplier contracts, including liaison with procurement to ensure optimum and streamlined approach to vendor and contract management.
Ø Review funds related literature / documentation to ensure it is fair, clear and not misleading.
Ø Provide assistance to facilitate and monitor reviews due to be completed as specified in the ULI Audit Calendar.
Knowledge, Skills and Behaviours
Ø Knowledge of the ABI/IMA/FSA/UCITs Directive and the regulatory structure of funds.
Ø Specific exposure to the compliance requirements of reporting/promotional investment material.
Ø Attention to detail to ensure accuracy.
Ø Presentation and report writing skills, ability to communicate and interpret complex ‘stories’ and statistics in a basic understandable way.
Ø Strong ability to source and manage large amounts of information.
Experience and Qualifications
Ø Experience providing knowledge of Investment/Fund Management principles.
Ø Experience of fund oversight within an investment accounting or Group Internal Audit.
Ø Experience dealing with operational risk and compliance.
Ø Degree (Commerce/Business/Statistics, or an Investment/Business discipline).
Ø Desirable: Financial Planning certificate(s) Investment Management certificate (IMC).