Quality Assurance Analyst- Private Wealth- 6 Month Contract- 03/06/19
The Quality Assurance Analyst will join a new Quality Assurance team in conducting detailed reviews for client files to ensure that they meet the standards set by the FCA, industry best practice and internal guidance.
- Conduct detailed quality assurance file reviews- document findings and recommend remedial actions to address client file shortcoming;
- Responsible for conducting the effective completion of each file review from initiation to completion
- Track all remedial actions through to completion;
- Develop and produce critical metrics and management information on a timely basis for the Head of Quality Assurance to circulate to senior management and the board;
- Support for Head of Quality Assurance in terms of engaging with investment managers regarding standards of suitability and record keeping requirement;
- Escalate promptly issues of concern to the Head of Quality Assurance;
- Conduct training sessions as appropriate to improve standards pf record keeping;
- Ensuring appropriate and confidential handling of sensitive data;
- Contribute ideas and participate in efforts to enhance the functioning of the Quality Assurance team;
- Research themes surrounding suitability related matters and identify their practical application for the business.
- Perform ad hoc tasks relating to suitability as directed by the head of Quality assurance that may include drafting guidance for the Investment Managers and updating suitability procedures/ guidance
- Work with Compliance to ensure a consistent interpretation of FCA rule and guidance.
Name: Alexia Brodie Cooper
Number: 0207 183 0070