Business Standards / Quality Assurance – City

Business Standards Analysts
City
To c. £60,000 + Bens + Bonus
This successful financial planning and discretionary wealth management company is seeking a number of business standards analysts.

The Business Standards team focuses on delivering high quality advisory standards and practices as well as delivering positive client solutions by liaising with both investment manager and financial planner stakeholders within the business.

The roles involves undertaking risk analysis and other desk based monitoring methods across investment management and financial planning.

Additionally, the roles will also support the adoption of new policy, process and controls using MI to identify risk and recommend appropriate remediation, training and improvements.

To apply for this role you will need:

Experience gained in a compliance  or risk background

Previous experience of working within wealth management and / or financial planning environment

Demonstrable experience of compliance monitoring, compliance policy or operational risk.

A good working knowledge of conduct risk matters, investment governance arrangements and relevant regulations, particularly COBS, CASS and SYSC.

In addition, a relevant professional compliance, financial planning or investment qualification, and proficiency with Excel.

These are permanent, employed positions and not suitable for contractors.

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