Traceability Analyst (MiFID II) Regulatory Traceability
iKas international are recruiting on behalf of a market renown Asset Manager who require a Traceability Analyst (MiFID II) to coordinate and create front to back traceability documents inclusive of applicability/interpretation of MiFID rules.
The successful candidate will have forensic skills in thorough F2B documentation starting with the applicability rationale of MiFID II rules, the interpretation of implementation by identifying one or more controls and evidencing the implementation for each control, identifying gaps that need remediation for MiFID II/MiFIR/RTS & Delegated Acts where applicable.
- Forensic Skill set in thorough F2B documentation starting with a) applicability rationale of MiFID II rules, b) interpretation of implementation by identifying one or multiple controls, c) evidencing the implantation for each control and d) identifying gaps in controls that may need remediation for:
- Level 1 MiFID II/MiFIR
- Level 2 RTS. ITS and Delegated Acts where applicable
- Level 3 Guidelines, Industry guidance
- Ability to work independently to create a robust audit trial of current state implementation in a Requirements Traceability Matrix and to draw upon SME support as and when required across FLOD and SLOD stakeholders
- Experience in developing Conflicts of Interest Registers, Regulatory Traceability, Conduct and Controls Frameworks and Registers is preferred with a Regulatory Lense.
- Maintain strong relationships and provide support to IT/Front Office/Compliance/Product Development/Operations/Audit/PMOs.
- Display a culture of individual ownership of tasks to embed a clear individual sense of accountability in performing the role
- Ensure that the highest level of the Code of Conduct is displayed in your behaviour
- Provide appropriate management information as required to support business unit decision making
- Support the "Risk Excellence" culture within the business
- Adhere to limits of delegation and escalation procedures required by your manager so that you comply with internal policies and external regulations.
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