Swindon or Newcastle
We currently have an exciting opportunity for a Risk Assessor to join our Risk Management Team.
We are looking for a Risk Assessor to assess operational and regulatory risks at both an appointed representative and a representative intermediary level. To ensure any risk triggers are understood, analysed and monitored to allow recommendation of the most appropriate mitigation action. The role is a supervisory and oversight function that strives to maintain professional and commercial safety in the Intrinsic group and limit the potential for customer detriment. The job will require a high degree of communication with firms, advisers, other Intrinsic departments and various field management roles.
This position plays a essential role in the Intrinsic function and is a key role within financial services.
Key Responsibilities and Scope of role:
This role will incorporate some or all of the responsibilities outlined below:
- Ensure that all relevant risk data is analysed and appropriate judgment made
- Provide risk assessments and monitor risk mitigation plans for all AR firms
- Provide a risk rating for all ARs/RIs as required by the T&C scheme
- Utilise the risk management data to direct field supervisory activity
- Provide pre-visit data for Field Supervisors for IIVs, AIVs and ACAs
- Identify any firms and individuals that may be under financial strain using the Financial Monitoring process and annual disclosure information
- Engage with advisers and firms to clarify understanding and resolve issues
- Manage workload effectively and in keeping with published standard
- Be seen as a center of excellence in terms of operational, regulatory and customer risk knowledge and practice
Diploma qualified or working towards the qualification
- 3 years + compliance experience including monitoring
- Ability to follow compliance rules and enforce the standards as directed by the network
- A strong personal identity and corporate focus
- Strong team member
- Strong analytical approach and inquisitive nature
- Able to display sound judgment when assessing risks and developing risk reports
- Possessing strong attention to detail with an ability to understand and link risk indicators
- A strong verbal and written communicator
Established in 2006, Intrinsic has grown to become the UK's largest distributor of financial advice.
More than 3,300 advisers have chosen Intrinsic as the place to develop and grow their businesses. Why? Because Intrinsic has the size, the financial strength, and people with the knowledge and expertise to help advisers achieve more.
Our advisers are focused on providing the right advice and solutions for their clients, both individuals and businesses. They operate across all markets, from pension and investment advice to mortgage planning, protection and insurance.
Led by a highly accomplished and experienced management team, Intrinsic has the resources, the financial strength and a track record of success to deliver invaluable guidance and support to our members.
In Old Mutual Wealth we have a like-minded, financially strong partner, who not only shares our belief in the importance of advice but also our vision for the future of Intrinsic.
We are an equal opportunities employer, and ensure that no applicant is subject to less favourable treatment on the grounds of gender, marital status, race, colour, nationality, ethnic or national origins, age, sexual orientation, responsibilities for dependants, physical or mental disability. We select candidates for interview based on their skills, qualifications and experience.