Working on behalf of a highly reputable and award-winning Chartered Business who offer centralised, integrated support for financial planners and wealth managers, we are seeking a Quality and Risk Analyst.
Our client, now 15 years’ old, offer a bespoke, multi-award-winning service with a tailored blend of products and can help with compliance, regulatory advice and innovative technological solutions. Their priority is to create and deliver a solution that meets their client’s needs, whilst maintaining high-level relationships with the vast majority of insurance companies, investment houses, pension providers and retail platforms.
Working as Quality and Risk Analyst, you will be based in the head office in Horsham and report to the Quality & Risk Team Leader responsible for maintain a systematic and comprehensive scheme of file monitoring across the Network, in accordance with regulator requirements. Other duties will include, but not be limited to:
- 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
- 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
It is essential you have excellent knowledge of retail investment, savings, pension and protection products in the IFA sector, having worked in a similar role previously, coupled with strong knowledge of FCA rules and their interpretation/application. You will also be able to effectively communicate with others confidently whilst remaining flexible and adaptable, whilst having highly developed analytical, observational, written and verbal communication skills,
We are seeking someone with a minimum of CertPFS or equivalent), with significant progress towards the achievement of a level 4 Diploma qualification desired, however, holding the Level 4 Diploma in Financial Planning would be highly advantageous, as well as any specialist qualifications in Equity Release/Lifetime Mortgages, Occupational Pensions and Long Term Care.
Liability and Disclaimer
The information contained in our advert including any salary or on target earnings information is given in good faith and Clark James Ltd uses all reasonable efforts to ensure that it is accurate. However, Clark James Ltd gives no representation or warranty in respect of such information and all such representations and warranties, whether express or implied, are excluded. No liability is accepted by Clark James Ltd for any loss or damage which may arise out of any person relying on or using any information within this advert.
All applications received will be dealt with in the strictest confidence
Due to the volume of applications received we will be in touch if your application has been successful within 7 working days. If you have not received any communication within this time, please assume you have been unsuccessful on this occasion, but the information may be retained in connection with future opportunities.