MiFID Private Banking Control Specialist
Core
Execute transaction-level and portfolio-level MiFID controls to ensure investor protection and regulatory compliance for Private Banking investment services.
Role type
Senior IC MiFID Private Banking Control Specialist
Builds
Auditable evidence, periodic MiFID control reports, and exception remediation plans for Private Banking clients.
Domain
Financial Services / Private Banking / Regulatory Compliance
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
MiFID II regulatory expertise, suitability monitoring, portfolio alignment analysis, root cause investigation, data analysis, control framework design
Preferred skills
MiFID certification (EFPA, CFA, CISI), Spanish language proficiency, experience in wealth management or product governance
Technologies
Excel, Power BI, SQL
Responsibilities
Execute transaction-level and portfolio-level MiFID controls; Monitor suitability, target market, and sustainability preferences; Review client-initiated transactions for control circumvention; Verify delivery and archiving of suitability reports and KIDs; Analyse exceptions and coordinate remediation; Produce auditable evidence and periodic reporting; Escalate material issues through governance; Collaborate with Portfolio Management, Compliance, and Data teams; Support automation of control frameworks.
Seniority
Senior, hands-on IC
