Our client is seeking a Quality Assurance Manager to lead their Quality Assurance Unit (QAU) within the Regulatory Operations Team (Reg Ops). This full-time role involves overseeing quality assurance analysis for Client On-Boarding processes across all jurisdictions. The role includes managing a team, providing technical support and training, and assisting with performance data analysis for the Reg Ops team. Click here to read more.
Job Duties:
- Manage a small team responsible for governance of Reg Ops policies and procedures, providing quality assurance analysis, technical support, and training.
- Collaborate with Risk & Compliance, Reg Ops, and other functions to maintain and update Reg Ops processes and policies, including the CDD Toolkit and the Corporate Governance Toolkit.
- Conduct quarterly quality checks on a sample of new business accepted by the fiduciary business and/or the law firm.
- Ensure adherence to internal policies and procedures for on-boarding, including CDD, screening, and risk assessment.
- Work with the Reg Ops Management Team to determine the frequency and volume of QA testing per administrator.
- Provide immediate feedback, coaching, and support where development areas are identified and remediation work is needed.
- Prepare and present reports on QA testing findings, and make recommendations for training and remediation.
- Deliver training sessions to the Reg Ops Teams on trends in quality issues and updates to internal policies and procedures.
- Share knowledge in team meetings, promote best practices, and support Reg Ops teams with complex matters.
- Coordinate with Risk & Compliance, Client On-boarding Unit (COU), and Senior Management to ensure compliance with client acceptance and AML policies.
- Assist Senior Management in reviewing and updating on-boarding procedures to align with regulations and ensure effective communication with the team.
- Manage change requests for system improvements, obtain approvals, and conduct testing before implementing changes.
- Contribute to identifying process improvements and innovations that enhance the client experience.
Job Requirements:
- Minimum of 5 years' experience in a compliance and/or client due diligence environment.
- Solid understanding of regulatory requirements affecting law firms and trust company business.
- AML certification or similar equivalent qualification.
- Excellent IT skills, including proficiency with Microsoft Office suite, and a willingness to learn new technologies.
- Experience in coaching and developing others.
- Strong analytical and organisational skills, with the ability to prioritise work and meet deadlines.
- Ability to make decisions and use initiative within regulatory requirements, policies, and procedures.
- High attention to detail, applying rigorous process analysis to ensure alignment and consistency.
What You'll Love:
Our client offers a challenging and impactful role where you will play a critical part in ensuring the quality and compliance of Client On-Boarding processes. This position provides the opportunity to lead a dedicated team, drive process improvements, and contribute to strategic decision-making. If you are passionate about quality assurance and have a strong background in compliance, this role offers a supportive environment for professional growth and development.
Interested? Register today, confidentially, with one of our friendly and dedicated recruitment specialists by clicking here