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Risk Assessor

Quilter Business Services
Job LocationManchester
EducationNot Mentioned
Salary£36,000 per annum
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypeContract, full-time

Job Description

Main Purpose of Role:

  • To assess operational and regulatory risks at both an Appointed Representative and a Representative Intermediary level.
  • To ensure any risk triggers are understood, analysed and monitored to allow recommendation of the most appropriate mitigation action.
  • The role is a supervisory and oversight function that strives to maintain professional and commercial safety in the Quilter Group and limit the potential for customer detriment.
  • The job will require a high degree of communication with Firms, Advisers, other internal departments and various Field and Remote Management roles.
    • Key Responsibilities and Scope of Role:
  • Ensure that all relevant risk data is analysed and appropriate judgment made
  • Provide risk assessment and monitoring recommendations
  • Utilise the risk management data to direct Field Supervisory activity
  • Provide pre-visit data for Field Supervisors for IIVs, AIVs and ACAs
  • Identify any firms and individuals that may be under financial strain using the Financial Monitoring process and Annual Disclosure information
  • Engage with Advisers and Firms to clarify understanding and resolve issues
  • Manage workload effectively and in keeping with published standards
  • Be seen as a centre of excellence in terms of operational, regulatory and customer risk knowledge and practice
    • Qualifications Required:Diploma qualified or working towards the qualification is desirable. Experience required:
  • Previous compliance experience including monitoring
  • Ability to follow compliance rules and enforce the standards as directed by the network
  • A strong personal identity and corporate focus
  • Strong team member
  • Strong analytical approach and inquisitive nature
  • Able to display sound judgment when assessing risks and developing risk reports
  • Possessing strong attention to detail with an ability to understand and link risk indicators
  • A strong verbal and written communicator
    • Required skills
  • Analytical
  • Communicator
  • Compliance
  • Risk Assessments

    • Keyskills :
    Communicat Risk Assessments

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