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Senior Analyst - Compliance monitoring and surveillance
September 15, 2018
London, United Kingdom
We are looking for a permanent Senior Analyst to join the Compliance Operations team in our Global Risk and Compliance Function in our London Head Office.
This role would suit a financial services compliance professional with a number of years experience in a relevant compliance monitoring and surveillance role in investment management or investment banking or relevant experience with regulators. Previous experience of monitoring and surveillance and advising on and administering personal conduct controls such as personal account dealing, gifts & hospitality and conflicts of interest essential.
Language skills are also highly regarded.
Aviva Investors has a high performing and substantial compliance team providing all regulatory advice and monitoring activities for our global investment management business. Compliance operates independently from the business advising on and monitoring to assess the adequacy and effectiveness of policies and procedures designed to detect any risk of failure by the firm to comply with its obligations under the regulatory system, and the actions taken to address any deficiencies in the firm's compliance with its obligations.
Additionally, the Compliance function is responsible for overseeing the processes for employees' personal conduct controls, such as personal account dealing, gifts & hospitality and conflicts of interest.
Senior responsibilities in the operation of trade surveillance and price sensitive information controls
Advice, guidance and review in respect of employee personal conduct responsibilities (such as personal account dealing, gifts & hospitality and conflicts of interest).
Providing support to the business, global compliance teams and employees on the use of the automated Compliance conduct tool.
Supporting the administration of sensitive information within the firm.
Assisting the Compliance Advisory area on operational aspects of policy implementation and further development of the controls environment.
Overseeing and supporting the performance of surveillance tests on first line controls in respect of order/best execution processes, market abuse prevention and conflicts of interest.
Contributing to well-written, coherent and succinct reports as required and appropriate for circulation to senior stakeholders.
Provision of training and transferring expertise about market conduct and surveillance
Making regulatory applications and reports using relevant FCA systems (e.g. FCA Connect system).
Establishing and maintaining constructive relationships within relevant business areas and build strong relationships with and provide support to other Compliance team members.
Providing subject matter support to the Head of Central Compliance and the Global Head of Compliance Operations.
Relevant compliance monitoring and surveillance experience
Committed and hard working
Self-starter with a proactive approach
Strong affinity with relevant technology and systems and the ability to quickly familiarise with internal systems
Comfortable dealing with a challenging workload and managing a broad range of tasks
Numerate and highly literate with willingness to learn relevant regulatory expectations and business processes.
Excellent attention to detail, efficient and organised.
High degree of discretion and confidentiality in dealing with sensitive information.
Proficiency in one or more European languages.
Previous experience of monitoring and surveillance and advising on and administering personal conduct controls such as personal account dealing, gifts & hospitality and conflicts of interest would be an advantage.
Demonstrable interest in investment management compliance.
We are proud to be a different kind of asset manager; our intelligent and innovative solutions are based entirely around our clients' needs, not ours.
Aviva Investors is a global asset manager with expertise in real estate, fixed income, equity, multi-asset and alternative investments. We are proud to stand out in our field as our intelligent solutions are based around our clients' objectives, not ours.
Inclusion and diversity
We are a global organisation with thousands of employees and customers from different cultures. We've built our approach to inclusion and diversity on the principles of respect, valuing differences and inclusion.
One of Aviva's core values is Care More, and this is bought to life through the flexible ways we like to work. This may include working from home some of the time, or flexible work schedules to accommodate parent and carer responsibilities, further studies and hobbies. What's important to us is that you are supported to do the best work of your life.
You will be assessed against the Aviva values: care more, kill complexity, never rest and create legacy.