Quality & Risk Analyst - Wealth Management

Posted 12 October by Oval Recruit

Quality & Risk Analyst - Wealth Management

Horsham | £30,000 + Package

This is an excellent opportunity for someone with sound Financial Services knowledge to join a growing award-winning Financial Services Group who have ambitious growth plans for the next couple of years and are highly regarded as an innovative market leader. This key role will tap into your analytical, technical and communication skills and provide you with the opportunity to advance your knowledge, qualifications and career.

Duties will include -

  • Undertaking all business quality of advice reviews and maintaining accurate records of trends.
  • Being responsible for managing comprehensive file monitoring in accordance with regulatory requirements.
  • Undertaking enhanced monitoring, risk assessment and business reviews on the instruction of senior management.
  • Support the compliance team with monitoring assignments and requirements
  • Proactively support projects and associated project teams.
  • Attend Compliance meetings and provide input as required.
  • Constantly develop your knowledge of products, FCA rules and regulatory requirements.
  • Manage quality assessment projects and report to the Compliance Manager.

To apply for this position, you must have an understanding of FCA rules and their interpretation, preferably hold or be studying towards professional qualifications, and have excellent reporting skills. This is a good career opportunity which will provide you with significant prospects in a forward-thinking growing company that believes in investing in people and has a proven track record for development.

For more information please contact Briony Malden

Application question

Do you have previous experience within an IFA firm?

Reference: 35189636

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