Financial Services Quality Assurance Specialist
7 days ago
Job Summary
We are seeking a highly skilled Financial Services Quality Assurance Specialist to join our team at Close Brothers Wealth Planning. As a key member of our assurance team, you will be responsible for ensuring that we provide high-quality, expert financial advice to clients and within the regulatory framework.
Key Responsibilities
- Monitor and review our quality assurance processes to ensure they are effective and efficient.
- Collaborate with our management team to identify areas for improvement and implement changes.
- Develop and maintain effective monitoring activities, including vulnerable client processes.
- Support the business with key trends and root cause analysis.
- Work with the Head of Business Assurance to build effective management information to aid monitoring activities.
- Participate in key monitoring projects as required.
- Review and enhance controls to ensure they are effective and compliant with regulatory requirements.
Requirements
- Strong technical knowledge and skills relating to the financial services industry.
- Excellent knowledge of the FCA regulatory framework and CBAM Front Office Procedures.
- Able to provide constructive feedback and support coaching, mentoring, and staff development.
- Lead by consistently demonstrating the CBAM Business Principles (Client, Excellence, People, and Integrity).
- Ability to work under pressure and meet deadlines.
- Excellent attention to detail and ability to work with senior stakeholders.
- Embraces a culture of continuous improvement.
About Close Brothers Group
Close Brothers Group is a leading financial services company that provides a range of financial services to individuals, businesses, and institutions. We are committed to equality and valuing diversity within our workforce and provide equality of opportunity to all employees and candidates.
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