QA Manager
England, Remote.
Are you someone who has a passion for providing Quality Assurance analysis of 1LoD processes and the Funds space? You will be responsible for managing a team that conducts QA reviews globally as well as providing training to the wider 1st Line team.
Responsibilities
*Lead a small team responsible for the governance of 1LoD policies and procedures, ensuring quality assurance, technical support, and training are provided effectively.
*Collaborate with Risk & Compliance, 1LoD, and other departments to maintain a robust, up-to-date suite of 1LoD processes and policies, including the CDD and Corporate Governance Toolkits.
*Conduct quarterly quality checks on new business accepted, ensuring compliance with internal policies, particularly for client due diligence (CDD), screening, and risk assessment.
*Work closely with the 1LoD Management Team to determine the appropriate frequency and volume of quality assurance (QA) testing.
*Provide immediate feedback, coaching, and support when development areas or remediation needs are identified.
*Prepare jurisdiction-specific reports on QA findings, offering recommendations for training and remediation where necessary.
*Deliver training sessions to 1LoD teams, highlighting quality issues trends and ensuring up-to-date awareness of internal policy requirements.
*Share knowledge in team meetings, promote best practices, and support 1LoD teams with complex matters.
*Collaborate with Risk & Compliance, the Client On-boarding team, and Senior Management to ensure thorough understanding and adherence to client acceptance and anti-money laundering (AML) policies and procedures.
*Assist Senior Management in reviewing on-boarding processes, ensuring they align with regulations, are refreshed as needed, and effectively communicated to the team.
*Consolidate system improvement requests, obtain necessary approvals, and conduct testing prior to communicating changes.
*Contribute to identifying process improvements, policy updates, and service innovations that enhance the overall client experience.
Requirements
*A minimum of 5 years of experience in compliance and/or client due diligence.
*In-depth understanding of the regulatory requirements impacting the Funds & Trusts space.
*Certification in AML or an equivalent qualification.
*Proficiency in Microsoft Office and a willingness to adapt to new technology.
*Experience in coaching and developing team members.
*Strong analytical and organizational skills, with the ability to prioritize tasks and meet deadlines.
*Ability to make informed decisions and take initiative within regulatory frameworks, policies, and procedures.
*High attention to detail, with a focus on ensuring alignment and consistency through rigorous process analysis.