CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
· Support the Business with Reporting Requirements
· Regulatory Horizon Scanning · Impact analyses – considering the impact of changes identified and coordinating the timely production of Regulatory Developments Updates
· Periodic Regulatory Reporting – compiling and, following sign off, submitting all periodic reporting to the Group's regulators on time (e.g. Product Sales Data; COREP and Asset Encumbrance).
· Ad Hoc Information Requests – compiling and, following sign off, submitting all ad hoc information requested by the Group's regulators on time.
· Coordinating regulator visit plans – assisting in designing and running regulator visit plans (including in particular tracking delivery of information required prior to the visit)
· Data integrity – analysing and cleansing data produced for the purposes of reporting to the
· Assist with the delivery of regulatory change projects and other compliance initiatives
· Provide help and guidance to other Compliance team members in relation to queries.
· Contribute towards relevant internal and external consultations, discussions and policy
· Contribute to the delivery of timely and effective reporting to the Boards, Committees and
Forums, Group Counsel and Head of Compliance on Compliance activity and projects.
· Take responsibility for designing, producing and managing compliance processes and
management information or providing advice to specific business areas.
· Support the Complaints function in administering the complaints resolution process,
including logging and responding to complaints from clients and advisers.
· Degree qualified
· Good understanding of the financial services industry – including ISA's and Pensions
· Experience of reporting on COREP and FINREP reporting requirements
· Excellent verbal and written communication
· Experience of working in a compliance, risk or legal function within a financial services firm
· Conscientious with excellent attention to detail
· Excellent planning and organisational skills
To discuss the role in greater detail please contact Kirstie Burn on 020 363 1603 or send through your CV to firstname.lastname@example.org
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.