Our client is seeking an Assistant Manager for Portfolio Supervision who will contribute to the effective oversight of regulated entities within the Portfolio Supervision Division. This position is full-time and offers a competitive remuneration package commensurate with qualifications and experience. The role is essential in ensuring that robust controls, processes, and supervisory activities are implemented effectively, in support of the Authority's risk-based Supervisory Methodology Framework. The principal focus of this role will be to assist with the supervision of a selected portfolio of regulated entities. You will work closely with management and senior colleagues to ensure that all objectives and deliverables outlined in the Supervisory Methodology Framework are met. Your involvement will include a range of supervisory activities, along with maintaining relationships with both regulated entities and relevant stakeholders.
JOB DUTIES:
- Assist with the effective and efficient supervision of a portfolio of regulated entities.
- Support the Portfolio Supervision team in completing all supervisory and operational deliverables.
- Assist in the delivery of the Supervisory Methodology Framework centred on risk-based supervision, ensuring that the Authority's systems, procedures and controls are correctly followed and utilised.
- Participate in supervisory inspections, desk-based reviews, thematic reviews, and other supervisory engagements.
- Attend and assist in meetings with regulated entities and other stakeholders, including taking accurate notes for records.
- Ensure notifications, breaches, complaints, errors, and other supervisory regulatory events are appropriately recorded, risk assessed, escalated, and managed in accordance with relevant internal policies.
- Review, analyse, and assess regulatory returns submitted by regulated entities, identifying anomalies, emerging risks, trends, breaches, or potential concerns. Ensure appropriate supervisory responses, corrective actions, and follow-up activity are undertaken.
- Support management in the effective operation of the Division's licence holder interaction processes, including oversight of shared inboxes, telephone enquiries, and data input activities.
- Provide support and guidance to Supervision Officers as required.
- Assist in maintaining the quality, accuracy, and completeness of supervisory data and records held within the Authority's systems.
- Contribute to the development and continuous improvement of supervisory systems, procedures, controls, and operational efficiencies.
- Engage in stakeholder activity both internally and externally, including participation in industry outreach initiatives and engagement events.
- Develop and maintain effective working relationships with regulated entities, industry bodies, other regulatory bodies, and government departments to further the Authority’s regulatory objectives.
- Ensure enquiries from the public, including complaints against regulated entities, are dealt with in a timely, professional, and constructive manner.
- Assist in identifying, analysing, and escalating emerging risks, trends, and supervisory themes relevant to regulated sectors and individual entities.
- Contribute to the introduction of new or amended legislation, guidance, policies, and procedures to ensure regulatory requirements remain effective and aligned with international standards.
- Carry out any other duties as reasonably required.
JOB REQUIREMENTS:
- Holds, or is working towards, a professional qualification relevant to the financial services industry.
- Evidence of continuing professional development (CPD).
- Relevant finance sector experience in an operational, compliance, assurance, risk, or audit role.
- A working knowledge of Financial Services and associated legislation, regulation, and guidance would be advantageous.
- Demonstrates effective interpersonal, verbal, and written communication skills.
- Strong analytical abilities, with the capacity to quickly assimilate information, consider associated risks, and summarise effectively.
- Proven success in building and maintaining working relationships with internal and external stakeholders.
- Ability to actively participate in meetings with senior stakeholders and work under pressure while managing varied workloads.
- Strong organisational skills and attention to detail are essential.
- Ability to contribute to wider authority initiatives.
WHAT YOU’LL LOVE:
In this role, you will have the opportunity to engage in a diverse range of responsibilities while supporting a team dedicated to effective regulatory supervision. The position offers a competitive salary along with benefits, including a defined benefit pension scheme, holiday entitlement that increases with service, and a flexible working scheme allowing for accrued days off.
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