Analyst – Investment Firms
Lead regulatory institution is seeking to employ an Analyst – Investment Firms to engage in the fiels of collective investment schemes, regulated markets, central securities depositories, financial and non-financial entities falling under the scope of EMIR and recognised administrators.
The selected candidate will:
- Perform analytical reviews to observe the level of compliance with applicable regulatory standards by Investment Service Holders and eventually the regulatory obligations emanating from MiFIR/MiFID and CRR/CRD.
- Assist in policy projects and relevant work.
- Oversee a portfolio of investment firm licence holders by taking ownership of the relationship and effectively acting as a point of reference/relationship manager of such licence holders, from an off-site perspective.
- Undertake checks to ensure that regulatory returns are being submitted in timely, accurate and diligent manner and any errors or misrepresentations are taken up with the relevant licence holder as a matter of priority.
- Engage and address any regulatory issues that may arise in the normal course of the supervised entries’ business to ensure that the level of compliance with applicable regulatory standards is maintained.
- Take decisions and act on his/her own initiative in line with delegated authority and escalate issues outside his/her remit and area of responsibility with his/her seniors within the ream.
- Identify high risk and high impact relationships and ensure that action is taken when warranted to protect and safeguard the interests of investors and ensure full compliance with regulatory provisions.
- Generate periodic off-site reports while assessing trends and signs of potential developments in the industry and raising any recommendations as deemed necessary.
- Practice in ‘ad hoc’ assignments related to specific regulatory and non-regulatory issues that arise from time to time and report on the outcome of such assignments as may be appropriate and necessary.
Requirements, Competencies and Qualifications
- Academic background in Accountancy or Banking and Finance related background with minimum Level 6 by NQF, any additional qualifications will be considered an asset.
- Minimum of 3 years working experience in the area of Financial Services Sector.
- If not in possession of the necessary academic or professional qualification, a minimum of 7 years of experience would be still considered an equivalent.