Conduct and investor protection rules (MiFID II, FINRA, SEBI)
A skill of the kind “technical knowledge”, listed by 44 roles, 7 of them as critical.
Also described as
- best execution
- client categorisation
- conduct regulation
- conduct risk
- inducements
- investor protection
- MiFID
- MiFID II
- product governance
- suitability
- market abuse
Roles that need it
Where the weights come from
The weight is this skill's share of each role; the weights of one role add up to 100 percent.
Source: the EFO role catalogue, built from the ESCO classification and reviewed by the editors.
Critical for
- Compliance OfficerYour role
- Conduct Risk AnalystYour role
- Regulatory Change AnalystYour role
- Private Banking AnalystYour role
- Retail Banking AdvisorYour role
- Family Office AnalystYour role
- Paraplanner / Financial Planning AnalystYour role
Important for
- Markets Sales AnalystYour role
- Equity Capital Markets AnalystYour role
- Financial Services ConsultantYour role
- Treasury AnalystYour role
- Corporate Treasury AnalystYour role
- Debt Capital Markets AnalystYour role
- Securitisation AnalystYour role
- Structuring AnalystYour role
- Trading AnalystYour role
- Regulatory Consultant (Banking)Your role
Supporting in
- KYC AnalystYour role
- Macro Research AnalystYour role
- Periodic Review Analyst (KYC)Your role
- Portfolio Manager AssistantYour role
- Corporate Onboarding Analyst (KYC)Your role
- Equity Research AssociateYour role
- Fund Selection AnalystYour role
- Index & ETF AnalystYour role
- Investment Risk AnalystYour role
- Investment Product SpecialistYour role
- Performance & Attribution AnalystYour role
- ESG Research AnalystYour role
- Credit Research AnalystYour role
Useful in
- Custody Operations AnalystYour role
- Legal CounselYour role
- Settlements AnalystYour role
- Middle Office AnalystYour role
- Confirmations AnalystYour role
- Corporate Actions AnalystYour role
- Project Finance AnalystYour role
- Corporate Banking AnalystYour role
- Collateral Management AnalystYour role
- Quantitative Analyst (Desk Quant)Your role
- Reconciliations AnalystYour role
- Relationship Manager (Corporate & Business Banking)Your role
- Quantitative DeveloperYour role
- Transaction Banking AnalystYour role
Processes where it is used
- Conduct and investor protection