Quality and Risk Analyst - Financial Services

Job Title: Quality and Risk Analyst - Financial Services
Contract Type: Permanent
Location: Horsham, West Sussex
Salary: £28000 - £37000 per annum + 25 Days Holiday, Pension, Private Medical
Start Date: ASAP
Reference: BB3754966_1551093915
Contact Name: Tanya Etheridge
Contact Email:
Job Published: February 25, 2019 11:25

Job Description

Our wonderful client is on the lookout for a Quality & Risk Analyst to join the team. Our client is a well known, established international Wealth Management company that empowers financial institutions to shape their future. This is an exciting time to join the team! Please see below for a full job description.

Reporting To: Quality & Risk Team Leader

Location: Horsham

Hours of Work: Monday to Friday 9.00am to 5.30pm with 1 hour for lunch

General Responsibilities:

* 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 suspense account and new business reports for analysis of trends
* Attend Compliance Team Meetings, compile Minutes where required and add to discussion as appropriate
* Undertake supporting monitoring tasks for the compliance team as required
* 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 Manager and Director with can-do attitude and a timely approach
* Complete tasks to a high standard, and apply initiative to accommodate for wider issues
Skills and Knowledge:
* Excellent knowledge of retail investment, savings, pension and protection products in the IFA sector
* 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 skils

Qualifications Requirements:

* Minimum of CertPFS (or equivalent), with significant progress towards the achievement of a level 4 Diploma qualification desired

Desirable Qualifications and Experience:

* Level 4 Diploma in Financial Planning
* Specialist qualifications:
* Equity Release/lifetime mortgages - ER1 & HR1 or equivalent
* Occupational pensions - J04, J05 & AF3 or equivalent
* Long Term Care - CF8 or equivalent
* Significant experience within the financial services, preferably in an investment or insurance environment with a good understanding of FCA/PRA regulatory expectations and compliance requirements

To avoid disapointment, Apply NOW!