The Quality Assurance Specialist will be responsible for completing detailed quality checking and analysis of Customer Operations and Financial Operations processes and call handling.
The role involves:
· Designing, planning and executing assurance audits of internal processes; identifying emerging risks and root causes – acting as a red flag for management to implement mitigating preventative and detective controls to safeguard the business.
· Presenting findings and trend analysis to key business stakeholders in a succinct and understandable way for non-technical audiences.
· Coaching and providing feedback to operational staff; walking through defect remediation recommendations and upskilling staff to competent status.
· Lead by example and uphold the values and vision of the business, acting as a role model for the Operational teams that you will engage with.
The Quality Assurance Specialist will be expected to identify gaps in processes and procedures; question the integrity of data and adherence to processing and servicing standards, policies and procedures. The role also involves analysing issues and paving the way for continuous improvement in the operational areas by identifying alternatives that are effective, practical and appropriate.
· Call listening and customer file reviews to ensure that Operations staff adhere to the regulatory requirements, internal standards and best practice.
· Input into the production of regular reporting detailing the outcome of the Quality Assurance assessment.
· Provide feedback to the Operations team following completion of a QA Assessment.
· Highlight trends and issues arising from the Quality Assessments.
· Raise incidents with Compliance where regulatory defect or deviation of process has occurred.
· Contribute to the ongoing review and monitoring of processes and procedures and documentation.
· Carry out thematic reviews as directed by the Quality Assurance and Compliance Oversight Manager.
· Identify key enhancements to be made to the Quality Assurance framework.
· Own team process documentation; regularly updating the Quality Assurance user guides, manuals and memorandums.
· Experience working in the UK Financial Services industry essential and wealth management experience is highly desirable.
· An eye for detail with an ability to spot errors.
· Ability to use initiative and decision making skills when concluding on sampling results.
· Strong MS Excel user and working knowledge of MS Word, Powerpoint and Outlook.
· Good communication skills, both verbal and written including the ability to provide feedback.
· Ability to converse effectively with stakeholders and build effective relationships.
· Proven experience of managing priorities to strict deadlines.
· Previous experience of analysing results and/or root cause and presenting results.
· IOC or equivalent.