Quality & Risk Analyst

Job Title: Quality & Risk Analyst
Contract Type: Permanent
Location: Horsham, West Sussex
Salary: £28000 - £36000 per annum + 22 days holiday, pension, shares
Start Date: asap
Reference: BBTE0031_1585835660
Contact Name: Tanya Etheridge
Contact Email:
Job Published: April 02, 2020 14:54

Job Description

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!

Key Activities

− 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

Required Skills/Experience

− 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

Qualifications Requirements:

− Minimum of CertPFS (or equivalent), with significant progress towards the achievement of a level 4

Diploma qualification