Quality & Risk Analyst

Recruiter
Coast Specialist Recruitment
Location
Horsham
Salary
From £28,000 to £36,000 per annum
Posted
21 Mar 2019
Closes
24 Mar 2019
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

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