The Commission is recruiting for an Analyst to join the Investment, Fiduciary and Pension Division due to team expansion. The Investment, Fiduciary and Pension Division supervises a broad range of licensees and funds, undertaking on-site visits, thematic reviews, policy work and reactive supervision. The Division comprises three teams, all of which supervises low impact entities, including all funds. Their work includes thematic reviews and reactive supervision e.g. responding to notifications, intelligence, alerts, and requests for permission. The teams are also responsible for the higher impact licensees, including conducting on-site visits to firms as part of full risk assessments and custom engagements, as well as reactive supervision for those firms.
Highlights of the role include:
- Attending on-site visits; conducting research, analysing and identifying key issues in information and data and considering matters to raise. Reviewing files, assessing risks and accurate minute taking.
- Assisting with maintaining and developing the Commission’s relationship with its licensees and funds.
- This could include analysis of matters requiring the Commission’s approval, consent or comment and supporting the Authorisations and Innovations Division to investigate and assess applications for licences, registrations, authorisations and exemptions.
- Analysing funds’ and licensees’ periodic returns and financial statements and any other information which might affect their continuing ability to meet the licensing criteria.
- Assisting on on-site visits using in depth questioning to obtain specific information to ensure thorough analysis is carried out.
- Effectively carrying out other assignments in relation to the Commission’s supervisory and regulatory responsibilities.
- Preparing and presenting visit findings, providing feedback to licensees in a professional manner and following up matters raised.
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