Quality and Risk Analyst-West Sussex-Respected Financial Planning Company
My client is a hugely successful Chartered Financial Planning organisation that places all its focus on providing the best service to their clients, and providing all the training and resources to their staff to ensure they are able to 'evolve' as the market does.
As their reputation continues to grow, so does their need for the very best individuals to join and compliment the business - This particular role is no exception.
Key Tasks and 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.
Skills and Knowledge
- 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 Last Revised 24 October 2016.
- 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.
Due to the high number of applications received, unfortunately we will only be able to respond to successful applicants