Quality Audit Analyst

1 week ago

Manchester, United Kingdom AJ Bell Management Limited Full time

Reporting to the QA Manager, the Quality Audit Analyst will be responsible for taking ownership of quality assurance reviews which includes scoping the depth of the review area, identification of the key risks and controls, sample testing with the aim of delivering meaningful observations and remedial actions that add value.

Providing first line assurance that the group's operations are effective and adhere to all relevant legislation and statutory regulation.

Ensuring reviews identify good consumer outcomes throughout the customer journey and report on areas for improvement in line with the AJ Bell Guiding Principles and the FCAs Treating Customers Fairly (TCF) consumer outcomes.

Assist in the oversight of the group's Transaction reporting responsibilities defined by MiFID II, by completing focused review work, periodical analysis and remediation activities.

Key responsibilities:

  • Meeting with managers to scope out and define a review area.
  • Liaising with the Risk Team to identify risks captured within review areas and agree the level of testing for key controls.
  • Completing in-depth testing whilst creating a record of evidential findings.
  • Creation of detailed reports summarising the results of reviews whilst providing recommendations that add value.
  • Meeting with managers to discuss results, obtaining agreement to implement recommendations and manage any challenge that may arise.
  • Distributing final reports to key stakeholders including senior managers and directors.
  • Managing the follow up of remedial actions with managers through to implementation and when required, escalating through relevant channels.
  • Assisting in raising the profile of the QA Team through business engagement activities.
  • Assisting the QA Manager, Oversight Senior Manager, Head of Operational Oversight, and other areas of Operational Oversight.
  • Completing regular Transaction reporting analysis and remediation activity.

About you:

  • Self-motivated with a positive approach.
  • Ability to build, manage and influence relationships at all levels.
  • Ability to organise workloads with a focus on setting and delivering target deadlines.
  • Meticulous attention to detail.
  • Experience in evaluating complex data for decision-making and analysis reporting.
  • Experience of risk and control identification (desirable).
  • Experience within an FCA regulated business either in a Stockbroker, Investment Platform or Pensions provider.
  • Knowledge of the FCA's Handbook, in particular COBS and CASS.
  • Knowledge of MiFID II and a firm's Transactional reporting responsibilities.
  • CISI Investment Operations Certificate or willingness to complete the certificate or similar relevant financial qualification.

About us:

AJ Bell is one of the fastest-growing investment platform businesses in the UK offering an award-winning range of solutions that caters for everyone, from professional financial advisers, to DIY investors with little to no experience. We have over 503,000 customers using our award-winning platform propositions to manage assets totalling more than £80.3 billion. Our customers trust us with their investments, and by continuously striving to make investing easier, we aim to help even more people take control of their financial futures.

Having listed on the Main Market of the London Stock Exchange in December 2018, AJ Bell is now a FTSE 250 company.

Headquartered in Manchester with offices in central London and Bristol, we now have over 1200 employees and have been named one of the Sunday Times '100 Best Companies to Work For' forfive consecutive years.

There are opportunities for growth and professional development for employees wanting to progress within their career including induction training and our study support scheme which is part of our benefits package.

There is an active programme of social events throughout the year, which are open to all employees.

What we offer:

  • Generous holiday allowance of 25 days, increasing up to 31days with service, plus bank holidays
  • Casual dress code
  • Discretionary bi-annual bonus
  • Contributory pension scheme
  • Buy as you earn share scheme
  • Enhanced maternity/paternity scheme from day one
  • Bike loan
  • Season ticket loan portal
  • Discounted PMI and Dental
  • On-site gym and personal trainer led classes
  • Free social events and more

AJ Bell is committed to providing an environment of mutual respect where equal employment opportunities are available to all applicants and all employees are empowered to bring their whole self to work.

We do not discriminate on the basis of race, sex, gender identity, sexual orientation, age, pregnancy, religion, physical and mental disability, marital status and any other characteristics protected by the Equality Act 2010. All decisions to hire are based on qualifications, merit and business need.

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