Responsible for ensuring that we provide high quality, expert financial advice to clients and within the regulatory framework.
RESPONSIBILITIES
- Responsible for 1st line quality assurance monitoring across Wealth Planning.
- Ensuring all relevant 1st line checks are being completed by the relevant Managers to a consistent frequency and standard
- Ensuring escalations are managed in line with business requirements
- Responsible for some 1st line monitoring activities, e.g. vulnerable client processes
- Supporting the business with key trends / root cause analysis
- Working with the Head of Business Assurance to build effective MI to aid the monitoring activities noted below
- Involvement in key monitoring projects as and when required
- Review effectiveness of controls and design enhancements, where possible
WE WOULD LOVE TO HEAR FROM YOU IF YOU HAVE:
- Comfortable providing constructive feedback
- Strong technical knowledge and skills relating to financial services industry