Compliance Breach Monitoring Associate

3 days ago

Leeds, United Kingdom Link Group Full time

You will have responsibility for the management and control of the Incidents and Breaches Register, which is held in our web based GRC (Governance, Risk and Compliance) system.

The core purpose of this team is to ensure that we have completeness and accuracy on the reporting of breaches and incidents within our organisation so we can ensure we are appropriately reporting and meeting obligations to our Depositaries, Clients, ICO and the FCA.

The maintenance of the register should allow at any time for the progress of a breach to be tracked; the reporting to our various depositaries, clients and senior management on the status and volumes of breaches, ensuring breaches are resolved timely. It should also allow for other related reporting, the identification of any trends and compensation payments.

**What you’ll be doing**:
As a member of a busy breaches’ analytics team, on a day-to-day basis you will complete, and update Incidents and Breach details submitted to the department from various business areas. Specifically, this will include:

- Cases being worked in order of priority, considering if reportable to the Depositaries and in turn the FCA, reportable to clients or within the various SLA deliverables.
- The analysis of trends and errors and requesting feedback on these from the business
- Review of cases in GRC ensuring narrative can be adequately understood by an external party if needed. This can sometimes involve extensive discussion with the business and updates to the narrative. The rectification and preventative measures should be reviewed to ensure that they are adequate to correct and prevent a repeat including validation of any rectification calculations.
- Where a material pricing error has occurred, ensure completion of price rework and compensation payments to investors as required.
- Preparation of initial notification forms for clients and Depositaries as required
- Before closure, breach forms are to be generated and issued to Clients or Depositaries where required to do so. With follow up and closure of final breach notifications on receipt of their sign off.
- Managing a group mailbox and answering ad-hoc queries within 24hours where possible or holding replies issued where delivery is likely to be outside of those timeframes.
- Issue of chasers to the business areas for outstanding/overdue cases. Updating of GRC to create the audit trail of when a breach has been chased or returned to the business for further update. This demonstrates actively managing cases into closure and creates triggers for escalation as required.
- Occasionally join meetings with the business to discuss details of breaches and ensure that they take the correct preventative and rectification action.
- Update procedures to reflect change in process and seek to review and challenge as part of the quarterly procedures return process the current way of doing things to identify areas where efficiencies can be gained and quality improved and implement/document new procedures accordingly.
- Support with all training needs within the team to ensure adequate cover for all tasks during staff absence.
- Develop effective working relationships and ability to communicate issues and risk identified confidently with the business, while also gaining the ability to influence and persuade others to your way of thinking where needed, in order to reach agreement on actions to mitigate any further risk to the business.
- Take a lead to provide support to reduce management workload and provide cover to ensure business as usual. Ensuring that the task list is adequately maintained to ensure all work is completed within the required timelines and during periods of absence.
- Provide training and support to Operational areas in the use of GRC for breach reporting
- There is a need to ensure the allocation of the appropriate rule reference ensuring any potential Data Protection or Client Money/Client Asset cases are identified at the earliest and notified to key stakeholders through GRC.

**What we’re looking for**:
Essential
- GCSE (or equivalent) Maths and English at grade A-C
- Ability to manage workload in order to meet deadlines
- Proficient in the use of Microsoft office packages
- Ability to identify and correct errors, and learns from mistakes to prevent any future reoccurrence
- Strong analytical and numerate skills as well as an “enquiring mind” particularly regarding attention to detail.
- Proven IT skills in the creation and management of spreadsheets
- Within the first six months from recruitment, must be willing to study and attain the IOC Introduction to Securities and Investment (ISI)

Desirable
- IOC qualification
- Experience of working in a customer facing environment
- Experience of working within the Financial Services industry
- Understanding of the FCA Handbook

**About Link Group / Fund Solutions**:
Our Funds Solutions division is a leading independent Authorised Fund Manager and provider of fund admini

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