ndustry and business awareness Sound understanding of the structure of the Financial Services industry and in particular the role and purpose of markets and the process of investing; the role of the function in which they work; how this role relates to other functions within their department and to the wider business. Deeper knowledge of specific markets and supporting operational protocols as required by the employing organisation.
1. Demonstrates a sound understanding of the structure of the industry, and in particular the role and purpose of markets and the process of investing Demonstrates an in depth understanding of the structure of Financial Services and how these impact on the function in which they work
2. Demonstrates a sound understanding of the role of the function in which they work, and how this role relates to other functions within their department and to the wider business Acts as a role model for the function in which they work clearly demonstrating how their role relates to the wider business.
3. Has deep knowledge of specific markets and supporting operational protocols as required by the employing organisation. Is proactive in supporting operational protocols
Regulatory and compliance Sound understanding of the Financial Services regulatory framework and ethics, and the ability to apply relevant rules and principles to their own role and within their team. Able to identify and communicate risks to the relevant management or compliance personnel within the organisation. 4. Demonstrates a sound understanding of the Financial Services regulatory framework and ethics Adherence to the regulatory framework and can influence their colleague’s compliance with these.
5. Applies knowledge of relevant rules and principles to their own role and within their team.
6. Identifies and communicates perceived compliance risks to the relevant management or compliance personnel within the organisation. Takes responsibility for resolving potential compliance issues
Essay Plan
The role of financial markets
The process of investing
Capital Markets: Equity markets, Bond and Debt Markets
Money markets: Commodities markets, derivatives markets
How the above markets help to facilitate the process of investing
How the above markets interact with each other/ how they work
Regulation and Compliance of the above markets
The UK Financial Services regulatory framework and ethics- FCA, PRA,
Conduct of Business Sourcebook rules and principles
Suspicious Activity Reporting
Money laundering Regulations- Money Laundering Reporting officer
General compliance Risks that could arise in the investment management industry
