Quality and Risk Analyst

Quality and Risk Analyst

Responsibilities

- Maintain a systematic, comprehensive scheme of file monitoring across the Network, 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

Skills/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

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
- 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