Quality & Risk Analyst

Posted 11 July by Coast Specialist Recruitment
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Quality & Risk Analyst

  • Horsham - £32,000

Overall Purpose of the Job:

  • To maintain comprehensive file monitoring across the network and undertake quality of advice reviews.

Key Activities & Responsibilities:

  • Maintain a systematic, comprehensive scheme of file monitoring across the Network, in accordance with regulatory requirements
  • Undertake a 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
  • Take on quality assessment tasks and projects as requested by the Compliance Manager and Director with a can-do attitude and a timely approach
  • Complete tasks to a high standard, and apply initiative to accommodate for wider issues

Qualifications and skills:

  • Level 4 Diploma in Financial Planning ideally or Minimum of CertPFS (or equivalent), with significant progress towards the achievement of a level 4 Diploma
  • Equity Release/lifetime mortgages - ER1 & HR1 or equivalent
  • Occupational pensions - JO4, JO5 & AF3 or equivalent
  • Long Term Care - CF8 or equivalent
  • 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
  • Highly developed analytical, observational, written and verbal communication skills

Reference: 35169213

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