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You will also be a team player, volunteering and participating in ad hoc cross departmental projects and activities. Most of all you will be an outstanding ambassador for the Quality Assurance function, building trust by understanding clients needs and building relationships throughout the firm.
Key Responsibilities will include
Conducting detailed file reviews and document findings, recommending remedial actions to address problems found.
Conducting file reviews from start to finish
Track all remedial actions
Develop and produce critical metrics and management for the Head of Quality Assurance to circulate to senior management and the Board
Support for the 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 to improve standards of 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 Investment Managers and updating suitability procedures/guidance;
Work with Compliance to ensure a consistent interpretation of FCA rules and guidance.
As a candidate you must have
Knowledge and experience within the Private Wealth industry
Good working knowledge and interpretation of FCA rules
Experience reviewing Investment Managers performance at portfolio level
Fantastic Attention to detail and communication, both written and verbal
Accept responsibility, make decisions and draw conclusions which you prepared to stand by.
Ability to confidentially handle sensitive client data You must be educated to degree level or higher and any professional qualifications you have, the stronger will be your application.