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