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Operational Risk

1 month ago

Manchester, United Kingdom Interactive Investor Full time

WHO WE ARE:

interactive investor is an award-winning investment platform that puts its customers in control of their financial future.

We’ve been helping investors for over 25 years. We’ve seen market highs and lows and been resilient throughout. We’re now the UK’s number one flat-fee investment platform, with assets under administration approaching £70 billion and over 400,000 customers.

For a simple, flat monthly fee we provide a secure home for your pensions, ISAs and investments. We offer a wide choice of over 40,000 UK and international investment options, including shares, funds, trusts and ETFs.

We also bring impartial, expert content from our award-winning financial journalists, highly engaged community of investors, and daily newsletters and insights.

WHAT WE STAND FOR:

It’s simple … we want our customers to feel confident and in control, for interactive investor to go from strength to strength, and for ii to be a workplace where we can all thrive. Our customer-driven approach and bold values sit at the heart of this. We are honest, straight-talking, and transparent with our customers and our colleagues. We are decisive and take ownership of what we say and deliver. We are ambitious and passionate about what we believe is right for our customers, our teams, ourselves, and interactive investor.

PURPOSE OF ROLE:

We are recruiting for an Operational Risk & Control Analyst to join the Operations Risk and Control team. The role is responsible for the oversight of Transaction Reporting market trades to the FCA. This role is also responsible for the monitoring of Crest messaging and resolution of Crest error messages. In addition, the role will provide support to the Trade Surveillance team.

Requirements

KEY RESPONSIBLITIES:

• Transaction Reporting monitoring. To make sure all relevant transactions are reported to the FCA and deal with any Transaction Reporting errors within the agreed SLA’s.

• Monitor all Crest messages, both outgoing and incoming and resolve any exceptions within the agreed SLA’s.

•Trade dispute resolution. Fact based approach to systems and controls and proactive ownership of effective problem resolution. This will include customer disputes and exception management from market checking against all counterparties and custodians

• Monitor for best execution of equities, bonds, fixed income and other financial instruments covering UK and International markets.

• Review Market Abuse alerts generated by external systems and log potential market abuse cases for Compliance reviews.

• Investigate all new issues of securities and seek the relevant approval for these to be added to the II platform.

• Treat clients fairly at all times.

• Immediate escalation of trade related issues to Management and mitigating risk to the business by obtaining a fair and prompt resolution.

• Compliance with and adherence to Operations Risk and Control procedures at all times.

• Support Quality assurance processes for key business tasks.

• Maintain the appropriate knowledge, skills and expertise to carry out the role competently. Ensure requisite training & competency records are kept up to date in order to maintain regulatory status.

• Compliance with ii procedures and guidelines at all times.

• Exercise due skill, care and diligence, observe proper standards of market conduct (MAR) and deal with the regulator in an open and co-operative way. In doing so achieve the standards and principles defined in the Fit and Proper Test for Approved Persons (FIT).

• Maintain an understanding of the Operations Risk and Control BCP plan.

• Use the training and competence scheme to maintain the appropriate knowledge, skills and expertise to carry out the role competently.

• Knowledge of and Compliance with ii’s risk appetite statement.

• Take responsibility for ensuring that the firm meets its Principles for Business (PRIN) requirements as set out by the FCA.

• Maintain the 1B function of compliance defence by ensuring individual adherence to business processes and procedures that are designed to meet the regulatory standards set out in the relevant FCA rules and guidance

• Maintain the 1B line of defence by operating risk controls assigned to the individual

• Build market relationships with Checking and Operational teams in other Financial Institutions

• Oversea international order flow, escalating system issues and resolving customer issues.

• Late shift responsibilities on rotation with Global Trading

SKILLS & EXPERIENCE REQUIRED:

• A detailed knowledge of Transaction Reporting and MIFID II rules.

• A detailed understanding of Crest messaging.

• Securities Institute or CISI Level 3+ Qualified.

• Proven background in Stockbroking/Investment Banking with experience of trading teams.

• Understanding of trading & settlement processes and rules for domestic and international markets.

• Understand the regulatory framework and the requirements for monitoring and supervision.

• Knowledge of compliance and industry/market regulations specifically relating to trading systems and controls.

• Excellent interpersonal and communication skills (emphasis on verbal and listening).

• Excellent attention to detail.

• Excellent numeracy skills.

• Client focused.

• Strong problem solving and timely decision making skills.

• Ability to think clearly in pressure situations.

• Strong team player who works collaboratively with others.

• Stays calm under pressure and displays emotional resilience.

• Flexible approach to work.

• Make an impact by driving for better results and paying real attention to the things that matter.

• Owning problems and being self-aware.

• Demonstrates unwavering integrity both personally and professionally.

PERSONAL ATTRIBUTES:

• Clear communicator

• Strong team player

• Demonstrated passion and drive for delivering the best outcome

• Moving with speed – delivering faster and better

• Decisive and take ownership of outcomes

• Not afraid to challenge and be open to challenges

STRAIGHT TALKING | MOVING WITH SPEED | OWNING THE OUTCOME