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Controls and Audit Supervisor, Share dealing

Posted 8 March by Link Asset Services Ended
Company Description

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
    operational risk.

  • 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

Reference: 34634054

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