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Senior Operations and Assurance Officer

  • Location: Kent
  • Salary: £40,000 per year
  • Job Type:Permanent

Posted 7 days ago

  • Sector: Compliance
  • Contact: Emilia Thomas
  • Contact Email:
  • Contact Phone: 07900981572
  • Expiry Date: 23 December 2022
  • Job Ref: ET/19798

​The key purpose of this role is to support the delivery of the Ops Quality Control and Assurance framework and act as a leader for Ops Quality Assurance activities across UK and India.

Reporting on key risk areas, ineffective controls or partially effective controls, ensuring relevant corrective action plans are in place and closed timely and effectively. Providing recommendations on process and system improvements as necessary.

Key Responsibilities:

• Conduct Level 2 independent assurance and control testing, in line with approved Risk Assessment Matrices

• Maintain the independent assurance and control test scripts for area of responsibility, ensuring these are up to date and reflective of business policies and impacting regulations

• Regular reporting of independent assurance and control testing outcomes, agreeing corrective action plans with Operational teams for any partial or ineffective controls

• Support Operational teams in maintaining their Risk Assessment Matrices and in the line (L1) control testing ensuring relevant sign offs are in place

• Ensure Operational departments risk registers remain up to date, with clear and timely corrective action plans that mitigate the risk

• Ensure Operational departments have Risk Acceptances formally documented and approved in line with the Operational Risk framework

• Identify emerging risks / areas of concern and propose targeted testing. Proposed scope, rationale and outcomes to be documented for approval

• Conduct trend analysis using Operational data (quality results, incidents raised, complaints, training requests and audit outputs) to identify and agree scope for specific quality assurance review.

• Complete regular policy reviews, identifying Operational gaps or implementation issues working with policy owners to agree appropriate actions

• Work with Operational owners to formalise quality control reporting ensuring that all controls are documented for testing within the quality assurance framework. Appropriately challenge process controls put in place by process owners to ensure they are achievable and relevant

• Ensure that you fully understand and comply with the organisation’s Risk Management Policies as they relate to your area of responsibility and demonstrate in your day to day work that you put customers at the heart of everything you do.

Experience Required:

• 3 years’ previous experience of working in Banking/financial services is essential

• 2 years’ previous experience in Operations is essential

• 2 year’s previous experience of quality assurance is essential

Knowledge Requirements:

• Detailed knowledge of quality assurance frameworks and methodologies is essential

• Robust knowledge of Mortgage / Savings products is desirable

• Good knowledge of regulations: BCOBs, MCOB and DISP is desirable

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.