Our industry leading 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