Wealth Management Firm are looking for a Quality Assurance Consultant to join them with the responsibility for reviewing client files to ensure they meet FCA standards. The Wealth Management Firm has over £20 billion in assets and provides both discretionary and managed portfolio services.
The role will focus around reviewing client files to ensure that they meet FCA standards and internal guidelines. You will be advising investment managers on raising the standards of record keeping relating to the management of the client portfolio and the suitability.
Key Responsibilities include:
- Conduct quality assurance file reviews which will include recommending actions to address client file shortcomings.
- Help create critical metrics and reporting which will improve the management of information for client files.
- Co-ordinate completion of each assigned file review from beginning to end.
- Escalate issues within the files to the Head of Quality Assurance
- Conduct training sessions on how to improve record keeping.
- Perform ad-hoc tasks relating to suitability as directed by the Head of Quality Assurance.
- The ideal candidate will have previous experience as a quality assurance consultant at a Wealth Management Firm.
- You will have previous experience conducting file reviews, investment and suitability reviews.
- This candidate must be efficient with their time and have strong attention to detail.
If you feel you have the relevant experience for this newly created opportunity then please apply to this advert and send your CV to Emily Marmoy-Haynes at Twenty Recruitment.
Twenty Recruitment's Compliance function are a team of specialist consultants covering Financial Crime Compliance and Regulatory Compliance mandates, both permanent and temporary, across Financial Services, Technology and Energy.