Quality Risk Analyst

Job Title: Quality Risk Analyst
Contract Type: Permanent
Location: Horsham, West Sussex
Salary: £28000 - £32000 per annum + good benefits
Reference: BBQualHor222_1509443959
Contact Name: Tanya Etheridge
Contact Email:
Job Published: October 31, 2017 09:59

Job Description

Quality Risk Analyst

My successful client is looking to recruit a Quality Risk Analyst to join their team.

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 skills

Qualifications requirements

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

Pension Transfer Specialist qualification, This is the AF7 ideally but G60 or AF3 will also be considered.

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 a can-do attitude and a timely approach
 Complete tasks to a high standard, and apply initiative to accommodate for wider issues

Desirable Qualifications and Experience

 Level 4 Diploma in Financial Planning
 Specialist qualifications:
o Equity Release/lifetime mortgages - ER1 & HR1 or equivalent
o Occupational pensions - J04, J05 & AF3 or equivalent
o Long Term Care - CF8 or equivalent
o Mortgages - CeMAP/CF6 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

If the above sounds like you, do not hesitate to apply now!

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