Quality & Risk Officer (Investments) - Hertfordshire

Search Consultancy
31 Mar 2018
20 Apr 2018
Contract Type
Full Time
An experienced Quality and Risk officer is required to join the Ethics & Independence (Investments) team of a Big 4 business based in Hertfordshire

You will join a team of experienced individuals within the Quality & Risk Management Operations team who are responsible for ensuring that the non-Partner population of the business are fully compliant with policies and procedures in relation to their personal investments. This will include you supporting the compliance audit process. You will have responsibility for data collation and checking related to the audit process.

Core responsibilities

• Carrying out personal compliance audits for the Non Partner population in accordance with the agreed timescales
• Carrying out regular compliance processes within key systems
• Reviewing the provided information and documents relating to investment products.
• Liaising with Non Partner population in respect to their investments.
• Reporting and escalating issues to relevant team members.
• Developing an understanding of investment products and how they relate to independence requirements.
• Assisting other E&I team members with wider compliance programmes, where required.

Skills, Qualifications and Experience

• Sound organisational and analytical skills with the ability to prioritise efficiently.
• Strong team-player who is both supportive and willing to help out.
• Excellent written and oral communication skills, ability to communicate with people at all levels and build relationships.
• The ability to interpret information and identify issues.
• Extremely high level of attention to detail is essential.
• The confidence to challenge the status-quo and provide fresh ideas.
• Confident user of Microsoft Office applications and internet-based research tools.
• Prior working experience and understanding of investment products are a plus.

In addition to a competitive basic salary, this role comes with a fully comprehensive benefits package

Please contact Nick Tagg at Search Consultancy on (Apply online only) for more information

Search is an equal opportunities recruiter and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age

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