AddressJob Summary
Job Description
What is the opportunity?
You will be involved across a range of initiatives and have the ability to add value through enhancing current data processes and assisting with upcoming projects. In this role the individual will have the opportunity to further their regulatory knowledge of SMCR/MiFID II and further their skill across a number of regulatory operational processes.
What will you do?
Senior Manager & Certification Regime (SMCR)
- Manage the weekly FCA Directory upload process to capture changes to SMCR population.
- Regular auditing of data within a variety of systems to ensure accuracy and consistency.
- Monthly reporting and data analysis for SMCR Management Committee and SMCR Oversight Forum.
- Providing information and reports on the SMCR population for a variety of stakeholders.
- Liaise with FCA to escalate and track issues and queries relating to FCA Directory uploads.
- Super-user for Trailight tool to make system changes and updates
- Assistance with year-end Annual F&P Review including monitoring of, and reporting on, completion of various elements of the F&P process (self-attestations, manager attestations, background screening) and issuing annual F&P certificates.
- Manage 30 day travel process to identify potential overseas visitors who are in scope for SMCR.
- Review and approve regulated background screening reports.
MiFID
- Coordinate the annual Knowledge & Competency (K&C) process.
- Liaise with appropriate stakeholders (e.g. Compliance colleagues in UK and Continental Europe) to ensure the process meets regulatory requirements.
Other Responsibilities
- Liaise with Internal and External auditors to provide data and evidence relating to audit requirements.
- Support the Brewin Dolphin Integration Project relating to the transition of BD data and process to align with RBC systems and procedures.
What do you need to succeed?
Must have
- Interest in expanding knowledge of SMCR / MiFID regulations.
- Intermediate Excel skills are essential.
- Strong attention to detail and accuracy are essential.
- Strong PowerPoint skills and ability to present data in an attractive and user-friendly way.
- Time management, attention to detail and able to work collaboratively.
Nice to have
- Knowledge of SMCR / MiFID regulations is an advantage but not essential.
- Knowledge of other tools and databases such as Workday, Trailight and Success Factors is an advantage.
What is in it for you?
We thrive on the challenge to be our best - progressive thinking to keep growing and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.
- A comprehensive Total Rewards Program including bonuses, flexible benefits and competitive compensation
- Leaders who support your development through coaching and managing opportunities
- Opportunities to work with the best in the field
- Ability to make a difference and lasting impact
- Work in a dynamic, collaborative, progressive, and high-performing team
- A world-class training program in financial services
Job Skills
Benefit Programs, Compensation Management, Employee and Labor Relations, Human Resources Consulting, Human Resources Operations, Human Resources Policies, Interpersonal Relationship Management, Knowledge Organization, Operational DeliveryAdditional Job Details
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Inclusion and Equal Opportunity Employment
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We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.
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