Quality and Risk Analyst - Horsham -£28,000 - £32,000 Bens

Posted 19 March by Fusion Personnel Easy Apply

Quality and Risk Analyst - Horsham -£28,000 - £32,000 + Pension + Healthcare


Due to expansion this well established Financial Planning Organisation are looking for an experienced Quality and Risk Analysts to join their team.


The Role
* 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


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

Required skills

  • CeMAP
  • Financial Planning
  • Financial Services
  • Pensions
  • Savings
  • PRA
  • IFA
  • Financial
  • mortgages
  • CF6
  • FCA
  • CertPFS
  • AF3
  • CF8
  • ER1
  • Retail Investment
  • HR1
  • J04
  • J05

Reference: 34713358

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