Junior Risk Analyst - West Sussex

Junior Risk Analyst - West Sussex

My client, a growth financial services SME, is looking for a risk, quality or compliance analyst to maintain comprehensive file monitoring across the network and undertake quality of advice reviews.

Key Activities & Responsibilities:
*File monitoring a in accordance with regulatory requirements
*Undertake a quality of advice reviews
*Undertake monitoring, risk assessment tasks and focused business reviews
*Assess and review suspense account and new business reports for analysis of trends
*Attend Compliance Team Meetings
*Undertake supporting monitoring tasks for the compliance team as required
*Take on quality assessment tasks and projects as requested by the Compliance Manager

Ideal Qualifications and skills:
*Level 4 Diploma in Financial Planning with of CertPFS or desire progress towards
*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
*Experience within the financial services, preferably in an investment or insurance environment with a good understanding of FCA/PRA regulatory expectations and compliance requirements
*Knowledge of retail investment, savings, pension and protection products in the IFA sector
*Knowledge of FCA rules and their interpretation/application

Risk, Quality and Compliance Analyst - West Sussex

Due to the high volume of CV responses for this role, we may not be able to contact all applicants. If you have not heard back from us in 5 working days, we would encourage you to contact the consultant directly.

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