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Quality and Risk Analyst, Horsham (CR-1296)

£28000 - £36000 plus excellent benefits

This is an exciting opportunity to join one of the UKs most innovative Financial Services firms. An award-winning services company that provides compliance and regulatory support, best-of-breed technology and financial support to a range of high quality, Independent Financial Advice firms. 



  • 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 analyse 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


Ad hoc Responsibilities:

  • Take on quality assessment tasks and projects as requested by the Compliance Director,
  • Compliance Manager, QRA Team Leader and or Supervisory Team Leader with can-do attitude and a timely approach
  • Complete tasks to a high standard, and apply initiative to accommodate for wider issues


Required Skills/Experience

  • 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  


Qualifications Requirements:

  • Minimum of CertPFS (or equivalent), with significant progress towards the achievement of a level 4 Diploma qualification



  • Monday to Friday
  • 22 days + bank holiday, rising 1 day per years’ service for the first 3 years
  • 5% pension matched up to 5%
  • Private Health Care
  • Critical Illness x 2
  • DIS x 4
  • Long term disability cover
  • Access to a Well Being hub
Employment type: 
Employed (Full Time)
Financial Planning
Reference Number: