Quality and Risk Training Analyst

Recruitment Connection Ltd
29th March 2022
Horsham, Hybrid, United Kingdom
Job Type
Salary £38000 – £41,000 + a range of benefits inc pension
South East


Quality and Risk Training Analyst

Sussex based.

Salary £38000 – £41,000 + a range of benefits inc pension and quarterly bonus.

My client is an award winning chartered financial planners providing award winning holistic financial planning and discretionary fund management.

They are seeking a compliance specialist with knowledge of retail investment, savings, pension and protection products in the IFA sector and strong knowledge of FCA rules and their interpretation/application. This a maternity cover role for a min of 12 months

Your focus will include:

  • Maintaining a systematic, comprehensive scheme of file monitoring across the Network, in accordance with FCA regulatory requirements;
  • Undertaking 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;
  • Undertaking enhanced monitoring, risk assessment tasks and focused business reviews as per the needs of the business and/or instructions of the management team;
  • Assessing and reviewing suspense account and new business reports for analysis of trends;
  • Attending Compliance Team Meetings, compile Minutes where required and add to discussion as appropriate.

The company offer a superb centralised investment proposition with award winning platform, secure client web portal, cutting edge technology and numerous industry awards.

Ref:  5143

Related Jobs

Share this page: