Business Quality Assurance Specialist
2 days ago
At MERJE, we are currently seeking a highly skilled Business Quality/File Review specialist to join our team in a discretionary wealth management business.
About the RoleWe are looking for an experienced professional to lead our Business Quality Unit and ensure our firm meets its regulatory requirements in relation to standards of investment advice, portfolio management, and record keeping.
The ideal candidate will oversee, develop, and maintain the investment management file monitoring framework and associated procedures, conduct root cause analysis on identified issues and trends, and review and analyse data from file monitoring to identify patterns and areas for improvement.
The successful individual will produce and present Management Information reports to the Chief Operating Officer and Business Manager, ensuring timely completion of remedial actions and clear communication of review outcomes.
We are seeking a strong project manager with excellent communication skills, both written and verbal, who can assess compliance with regulations such as MiFID II and Consumer Duty rules as they apply to investment management.
Key Responsibilities- Lead the Business Quality Unit to ensure the firm meets its regulatory requirements
- Develop and maintain the investment management file monitoring framework and associated procedures
- Conduct root cause analysis on identified issues and trends
- Review and analyse data from file monitoring to identify patterns and areas for improvement
- Produce and present Management Information reports to senior stakeholders
- Ensure timely completion of remedial actions
We offer a competitive salary of £60,000 - £80,000 per annum, depending on experience, plus benefits. If you have relevant file review/business assurance experience gained in a wealth or investment management environment and excellent project management skills, please apply.
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