Quality Audit Manger
Quality Audit Manger
Salary: UP TO GBP42,000
Are you looking for a fresh challenge with a leading Employer? Do you want a varied role with access to the best mid–market and large corporate clients?
Our Client is an award winning financial services organisation, who provide an online investment platform and stockbroker services across the UK. Due to expanding growth, our Client is now seeking an experienced and talented 'Quality Audit Manger' to join their team.
The successful Candidate will also receive an excellent benefits package such as Bonus, Contributory Pension scheme, Holiday buy/sell scheme, Season ticket loan, free social events including monthly pay–day Friday drinks, Free gym and classes and so much more!
With a broad understanding of operational processes, including SIPP/ISA/Dealing Account administration, the Quality Audit Manager will be responsible for planning and implementing the annual quality audit plan, providing risk management expertise and working with senior stakeholders to ensure operational infrastructure operates effectively and that robust systems and controls are maintained.
- Prepare and own the annual quality audit plan, including quality monitoring reviews, deep dive thematic reviews, business change reviews and controls testing
- Execute the quality audit plan by directing and reviewing work performed by the team, ensuring reviews are completed to a high standard and on a timely basis
- Continually improve the quality assurance framework and approach, with appropriate alignment to testing and reviews performed by other parties such as Risk & Compliance and Internal Audit to ensure consistency.
- Ensure review work is appropriately documented to be able to demonstrate that relevant risks have been adequately covered and to support findings and severity ratings
- Manage stakeholder engagement by building professional relationships across the business and by keeping the Head of Operational Oversight up to date on progress as well as findings arising from reviews.
- Work in collaboration with the wider Operational Oversight team, Customer Services, Operations and Risk & Compliance to ensure proposed reviews and testing have sufficient subject matter expert input and are robust
- Undertake root cause analysis and propose appropriate solutions and advice on remedial actions.
- Recruit, train, mentor and develop employees. Create an environment that encourages employee engagement, teamwork, and communication and generates a culture of operational excellence.
- Define performance standards, conduct performance reviews and follow–up on performance with team members both formally and informally.
- Producing monthly management information and providing quarterly reports for the Combined Assurance Forum.
- Demonstrable management skills and drive required to motivate and develop a high quality team providing a clear sense of direction; taking charge, organising resources and steering others.
- Exceptional interpersonal skills in dealing with Managers, Heads of Department, Directors and Risk & Compliance.
- Solid communication skills and the ability to articulate issues arising from reviews in a structured, targeted and impactful manner to audiences at various levels of the organisation.
- Broad understanding of operational processes, including SIPP/ISA/Dealing Account administration, as well as some experience and knowledge of UK CASS rules
- Adaptable to an ongoing changing environment and an active supporter of change
- Intermediate PowerPoint and Excel skills
For further information please contact one of our specialist consultants quoting REF:NJR8842