Our client, an established provider of investment management services, has immediate openings for Quality Assurance Analysts to join the business.
The Quality Assurance Analyst will work in the Quality Assurance team and will complete in-depth reviews of client files to ensure that they meet Financial Conduct Authority (FCA) regulatory requirements and internal requirements.
The Quality Assurance Analysts responsibilities will include;
- Completion of in-depth quality assurance reviews from initiation to completion which will include documentation of findings and recommended remedial actions to address shortcomings
- Development and production of critical metrics and management information for the Head of Quality Assurance and the senior management team
- Supporting the Head of Quality Assurance educate investment managers regarding suitability standards and record keeping requirements
- Supporting the implementation of the Training and Competence framework
The successful applicant will demonstrate the following skills and experience;
- In-depth working knowledge and experience of Private Wealth Management industry
- A strong working knowledge of FCA regulation that governs Know Your Client (KYC) and Investment Suitability requirements
- Previous experience of assessing the suitability of advice and Investment Managers performance
- Level 6 Advanced Diploma or Level 4 Diploma Qualified
If you wish to learn more about this position and you demonstrate the required skills and experience, then please apply now.
- Financial Services
- Quality Assurance
- Level 4 Diploma
- Level 6 Advanced Diploma
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