Quality & Risk Analyst

Overall purpose of the job This role is a maternity cover for up to 12 months on a 4-day a week, part-time basis. About Benchmark Our award-winning, proprietary solutions cover regulatory, platform and investment services, and are designed to support advisers at every step of their journey - from starting and running a financial advice business more productively and effectively, to accelerating its growth and realizing its value. We support high-quality financial advisers with our award-winning technology and support services. And with our own Financial Advice business, we help families find solutions to meet their needs and aspirations and achieve peace of mind. By providing access to higher quality solutions, we make it easier for them to meet and exceed their goals. Ensuring good client outcomes, with the client's interests central to decision-making, is very important at Benchmark. Treating Customers Fairly principles are embedded within our organization and we take responsibility for embracing and promoting our duty of care to all clients, including those who may be more vulnerable than others. The base You'll be based at our Schroders Business Campus near Horsham in West Sussex. It has high standards and an international reputation, without being in the city: a big, countryside campus means life will feel a little different. We support our offices by using cutting-edge software and hardware and our spacious campus facilities mean there's a great working environment for the team. With an on-site restaurant, coffee shop, and gym, our campus has much to offer. And commuters can relax on our dedicated regular shuttle bus to and from Horsham's main line train station. What you'll do Maintain a systematic, comprehensive scheme of file monitoring across the Network, in accordance with regulatory requirements. Undertake quality of advice reviews across all areas of the business and all AR firms, maintaining accurate records of trends and communicating them to the team within desired timescales. Undertake enhanced monitoring, risk assessment tasks, and focused business reviews as per the needs of the business and/or instructions of the management team. Assess and review an extensive range of Exception Reporting to analyze for trends. Co-ordinate and deliver additional training to Member Firms as and when required to support and enhance the quality of advice reviews. Assist the team with pre-approval requirements in specific advice areas. Attend Compliance Team Meetings, compile Minutes where required, and add to discussion as appropriate. Attend and contribute to the Groups various Committee Meetings as required. Undertake supporting monitoring tasks for the compliance team as required. Undertake and liaise with the team on associated tasks and projects, and provide constructive input. Liaise effectively and confidently with senior management. Provide telephone support for the Compliance Department as required. Take on quality assessment tasks and projects as requested by the Group Head of Risk and Compliance, Compliance Manager, QRA Team Leader, and/or Supervisory Team Leader with a can-do attitude and a timely approach. Complete tasks to a high standard, and apply initiative to accommodate for wider issues. The knowledge, experience and qualifications you need Level 4 Diploma qualified. Excellent knowledge of retail investment, savings, pension, and protection products in the IFA sector. Strong knowledge of FCA rules and their interpretation/application. Ability to communicate with others confidently whilst remaining flexible/adaptable. Highly developed analytical, observational, written, and verbal communication skills. Significant experience within the financial services, preferably in an investment or insurance environment with a good understanding of FCA/PRA regulatory expectations and compliance requirements. We're looking for the best, whoever they are Our purpose is to provide excellent client outcomes and service. Diversity of thought facilitated by an inclusive culture will allow us to make better decisions and better achieve our purpose. This is why inclusion and diversity are a strategic priority for us and why we are an equal opportunities employer: you are welcome here regardless of your age, disability, gender identity, religious beliefs, sexual orientation, socio-economic background, or any other protected characteristics.

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