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.

 

 

Contact Details

Name: Alexia Brodie Cooper

Email: abc@rutherfordsearch.com

Number: 0207 183 0070

Posted: 03/06/19