Senior Quality Assurance Analyst

Rutherford Search Ltd
London (Greater)
04 Apr 2018
13 May 2018
Contract Type
Full Time
Quality Assurance Senior Analyst - Private Wealth Firm - 23/03/18

Our client a leading Private Wealth Firm are looking for a Quality Assurance Senior Analyst to join their compliance team in London.

Main purpose of role

The Quality Assurance Senior Analyst will join a new Quality Assurance team in conducting detailed reviews for client files to ensure that they meet the standards set by the FCA, industry best practice and internal guidance.

The Senior Analyst will support the Head of Quality Assurance in the preparation of work that will be used as constructive feedback to Investment Managers regarding raising standards of record keeping and suitability.

Key Responsibilities and Scope of role

Conduct detailed quality assurance file reviews - document findings and recommend remedial actions to address client file shortcomings;Responsible for conducting the effective completion of each file review from initiation to completion; Track all remedial actions through to completion;Develop and produce critical metrics and management information on a timely basis for the Head of Quality Assurance to circulate to senior management and the Board;Support for the Head of Quality Assurance in terms of engaging with investment managers regarding standards of suitability and record keeping requirement;Escalate promptly issues of concern to the Head of Quality Assurance;Conduct training sessions as appropriate to improve standards of record keeping;Ensuring appropriate and confidential handling of sensitive data;Contribute ideas and participate in efforts to enhance the functioning of the Quality Assurance team;Research themes surrounding suitability related matters and identify their practical application for the business;Perform ad hoc tasks relating to suitability as directed by the Head of Quality Assurance that may include drafting guidance for Investment Managers and updating suitability procedures/guidance;Work with Compliance to ensure a consistent interpretation of FCA rules and guidance.Key Behavioural and Experience requirementsTechnical

Knowledge and experience of the Private Wealth Management industry and the key challenges it faces;

Good working knowledge and experience of interpreting FCA rules and guidance relating to know your client and suitability requirements.

Experience of reviewing client take on documentation to ensure internal standards are adhered to;

Relevant experience of reviewing Investment Managers performance at portfolio level aligned to internal procedures and industry best practice;

Attention to Detail

Ability to review documentation against agreed standards and problem solve where required;

Reporting to stakeholders on the results of client file reviews including developing appropriate KRI’s and KPIs;

Decision Making

Accepts responsibility, solves problems and makes appropriate decisions.

When drawing conclusions, demonstrates resilient behaviour in the face of setbacks or pressure.


Good communication skills, both written and verbal. Appropriate and confidential handling of sensitive client data; Excellent analytical, problem solving, facilitation, organizational, prioritization, and decision-making skills;

Relationship Builder

A professional ambassador for the Quality Assurance function;

Client Focus

Builds trust and maintains relationships by understanding client needs and, where relevant, aligning services to meet objectives

Time Management

Experience and ability to work independently and complete assigned tasks within agreed timeframes;


Strong team player who contributes to team objectives.

Encourages participation.

Volunteers for cross-departmental projects.

Managing and Learning

Manages junior employees by setting priorities and direction of work, achieving individual and team objectives.


Supports the Company’s equal opportunities policy and makes decisions based on merit alone.

Qualifications required:

Educated to at least Graduate level or above. Industry professional qualifications are preferred, but not essential.
This job was originally posted as

Similar jobs

Similar jobs