We offer industry-leading shareholder services through Link Market Services to a wide range of corporates, issuers and business managers. We are the largest UK share registrar providing services to more than 1,300 companies large and small across the UK.
We administer share plans for over 200 clients and have worked on more than 50% of UK IPOs since 2005. Our unique place in the market, combined with our partnership and relationship management approach, enables us to play a vital role in connecting issuers with 5 million shareholders around the world.Job Description
Link Asset Services currently has a fantastic career opportunity available for a Controls and Audit Supervisor to join our Share dealing team based in Beckenham. The Share dealing department offers a range of execution only share dealing services primarily for private investors in stocks where the register or employee share plan is administrated by Link Market Services.The Controls and Audit team are based within the Share dealing department and are responsible for providing assurance to Senior Management that the department are carrying out the regulatory responsibilities including MAR, Best Execution, CASS and MIFID II.
What being a Controls and Audit Supervisor involves:
The team are directly responsible for the surveillance of orders and trades, reviewing
them for Market Abuse and where executed, Best Execution. We are also
responsible for providing an internal monitoring and audit function to deliver
assurance to Senior Management on the Department’s adherence to documented
processes, procedures, policies and controls and that these are subject to
regular review, remain fit for purpose and mitigate operational risk.
In addition to this, the team review all operational incidents, particularly regulatory breaches -
assisting operational teams to implement changes which will mitigate or remove
The role-holder will primarily focus on delivering these responsibilities, working alongside the
Controls and Audit Manager to manage the members of the Controls and Audit Team
- providing leadership and support through regular 121’s and appraisals. Where
required developing performance coaching plans.
They will assist the Controls and Audit Manager in undertaking GAP analysis on papers such as policy
statements, thematic reviews, Market Watch updates and other such publications
as required, suggesting and implementing appropriate changes.
Skills and Qualities you will need:
Demonstrate an understanding of regulatory requirements within Financial Services
Demonstrate an understanding of Operational risk
Work well within a team setting
Excellent accuracy and attention to detail
Able to break tasks down to ensure that progress can be tracked and measured
Create a culture of two way engagement, making the interaction productive and easy.
Encourages a culture within the team to engage with the stakeholders in a way that forges strong
working relationships and promotes openness