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Intermediary Oversight Analyst

Rullion

£300-£400 per day
London
Financial Services

Role

Job Description


Job Title: Intermediary Oversight Analyst

Location: Doncaster / Hybrid / Wimbledon

Division: Retail Governance and Risk Team

Salary: £300 - £400 Daily, Inside IR35

Monday - Friday: 9am - 5:30pm

Role Overview: An exciting opportunity has arisen for an Intermediary Oversight Analyst. This role is pivotal in ensuring regulatory obligations are met by monitoring intermediaries and maintaining best practice standards to prevent customer harm. You will support the management and administration of the Broker Monitoring Process and the Intermediary of Concern Process, hold stakeholders accountable for deadlines, and work with senior stakeholders to enhance processes.

Key Responsibilities:

  • Manage the Broker Monitoring and Intermediary of Concern Processes.
  • Coordinate investigations into potential intermediary conduct concerns.
  • Facilitate stakeholder meetings to educate and engage them on conduct risk in intermediaries.
  • Support the Senior Intermediary Oversight Analyst with intermediary audits.
  • Produce management information for senior stakeholders on Broker Monitoring and Intermediaries of Concern.
  • Generate reports for the Broker Concerns Forum and Intermediary Oversight Forum.
  • Coordinate senior stakeholder responses to complex intermediary conduct concerns, including chairing forum working groups.

Note: This job specification is a guide and duties may vary from time to time. The job holder may be expected to undertake other duties within their capabilities.

Skills and Experience:

Essential:

  • Effective root cause analysis skills.
  • Strong attention to detail.
  • Good knowledge of management information practices.
  • Ability to plan and organise own workloads.
  • Proficiency in handling difficult conversations face-to-face.
  • Conflict handling skills and ability to provide constructive feedback.
  • Competent in Microsoft Excel and Word.

Desirable:

  • Experience in Financial Services.
  • Experience managing and influencing senior managers.
  • Development of effective management information.
  • Sound knowledge of operational risk frameworks.
  • Knowledge of the regulatory environment.

Education & Qualifications:

Essential:

  • Attention to detail and a structured approach to work.
  • Strong communication skills, both written and verbal, with the ability to persuade at all levels.
  • Ability to challenge behaviours and continually improve processes.
  • Ability to critically analyse information to produce logical outcomes.
  • Minimum of 5 GCSE's (A-C Grades) or equivalent level of study.

Desirable:

  • A-level standard education, preferably including Maths & English.
  • Minimum of two years' experience in a similar position.

This vacancy is being advertised by Rullion Ltd acting as an employment business.

Since 1978, Rullion has been securing exceptional candidates for a range of clients; from large well-known brands to SMEs and start-ups. As a family-owned business, Rullion's approach is credible and honest, focused on building long-lasting relationships with both clients and candidates.

We celebrate and support diversity and are committed to ensuring equal opportunities for both employees and applicants.

MWarren.

Rullion celebrates and supports diversity and is committed to ensuring equal opportunities for both employees and applicants.
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