Compliance & Regulatory
Financial Services

Quality Risk Analyst

Ref: 3865| Posted: 20th Apr 2022

Quality Risk Analyst 
12 Month FTC 
UP TO £40Kpa
Flexible working is offered for this position. 

Our client is looking for an experienced compliance officer with the ability to work as on their own and as part of an established team. This role is a 12 month fixed term contract.

Overall Purpose of the Job: 

- Proactively co-ordinate and deliver training to Member Firms to support and enhance the quality of advice reviews. Compile documented minutes from the training workshops and liaise with the T&C Supervisory Team to ensure all actions are completed within agreed timescales.

- Maintain a systematic, comprehensive scheme of file monitoring across the Network, in accordance with regulatory requirements

- Undertake 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 an extensive range of Exception Reporting to analyse for trends

- Assist the team with pre-approval requirements in specific advice areas.

- Attend Compliance Team Meetings, compile Minutes where required and add to discussion as appropriate

- Attend and contribute to the Groups various Committee Meetings as required

- Undertake supporting monitoring tasks for the compliance team as required

- Undertake and 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

Ad-hoc Responsibilities:

-Take on quality assessment tasks and projects as requested by the Compliance Director, Compliance Manager, QRA Team Leader and or Supervisory Team Leader with can-do attitude and a timely approach

- Complete tasks to a high standard, and apply initiative to accommodate for wider issues

The knowledge, experience and qualifications you will need: 

- Excellent knowledge of retail investment, savings, pension and protection products in the IFA sector

- Strong knowledge of FCA rules and their interpretation/application

- Ability to communicate with others confidently whilst remaining flexible/adaptable

- Highly developed analytical, observational, written and verbal communication skills

Desirable experience and qualifications: 

− Level 4 Diploma in Financial Planning or working towards

− 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


What You'll Be Like

− Flexible in approach to work

− Be able to work on your own or as part of a Team

− Confident in decision making

Please apply to this role here or contact Andrea on: 01483 668706 or email your CV to: 
If you haven't heard from us in 5 working days, please assume your application is unsuccessful at the time - thank you.