Our client are Global Leaders in Financial Technology and Financial services. They are in need of a Quality & Risk Analyst to join the team on the outskirts of Horsham. See below for more details!
− Maintain a systematic, comprehensive scheme of file monitoring across the Network, in accordance with regulatory requirements
− Undertake quality of advice reviews across all areas of the business and all AR firms, maintaining accurate records of trends and communicating them to the team within desired timescales
− Undertake enhanced monitoring, risk assessment tasks and focused business reviews as per the needs of the business and / or instructions of the management team
− Assess and review an extensive range of Exception Reporting to analyse for trends
− Co-ordinate and deliver additional training to Member Firms as and when required to support and enhance the quality of advice reviews.
− Assist the team with pre-approval requirements in specific advice areas.
− Attend Compliance Team Meetings, compile Minutes where required and add to discussion as appropriate
− Attend and contribute to the Groups various Committee Meetings as required
− Undertake supporting monitoring tasks for the compliance team as required
− Undertake and liaise with the team on associated tasks and projects, and provide constructive input
− Liaise effectively and confidently with senior management
− Provide telephone support for the Compliance Department as required
Ad hoc Responsibilities
− Take on quality assessment tasks and projects as requested by the Compliance Director, Compliance Manager, QRA Team Leader and or Supervisory Team Leader with can-do attitude and a timely approach
− Complete tasks to a high standard, and apply initiative to accommodate for wider issues
− Excellent knowledge of retail investment, savings, pension and protection products in the IFA
− Strong knowledge of FCA rules and their interpretation/application
− Ability to communicate with others confidently whilst remaining flexible/adaptable
− Highly developed analytical, observational, written and verbal communication skills
− Minimum of CertPFS (or equivalent), with significant progress towards the achievement of a level 4