Quality and Risk Analyst

Posted 2 January by First Recruitment Services Limited
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Due to continual growth our client is recruiting for a Quality and Risk analyst to join their team

General Responsibilities:

  • Maintain a systematic, comprehensive scheme of file monitoring, 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 skills

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

First Recruitment Services are acting as an employment agency in relation to this vacancy.

Reference: 36924369

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