Incident Reporting and Quality Assurance Lead

  • Beckenham, UK
  • Full-time

Company Description

Link Asset Services is a fast growing, dynamic business with market leading positions across our areas of expertise – funds, market services, corporates and private client, and banking and credit management services.  With offices across the UK and Europe we are part of Link Group who are headquartered in Australia.  A truly global organisation, Link Group provides us with a strong platform to realise our growth ambitions and continue to build on our success.

You can play a key part in this – at Link Asset Services we recognise the importance of supporting and developing our people, so we listen to colleagues, train our teams and invest in great working environments.  Add to that a culture that champions respect and integrity, a diverse and inclusive colleague base and a commitment to positively influence the communities we work with and you’ll get a flavour of life at Link.  At the bottom of this role advert, you’ll find more information on why you’ll enjoy working with us…

Job Description

The candidate will oversee the Incident Reporting (IR) and Quality Assurance (QA) Team responsible for monitoring and reviewing all IRs generated by operational business areas within Link Market Services (LMS).

Incident reports are raised whenever there has been an error, issue, breach or complaint and form a key record-keeping control to ensure any significant issues are communicated to the regulator whenever appropriate to do so. The IR process is also a vital tool to enable LMS to closely monitor operational issues / failures, identify trends and implement process improvements or preventative measures to reduce the risk of any future re-occurrence.

This is a new team and will ultimately drive IR quality assurance, provide management information and trend analysis for local managers, business heads and the board in addition to supporting process improvements across the wider business. Team members will maintain regular contact with local operational business areas and act as gatekeeper for IR related comms into LMS’ Compliance / Risk teams. Key quality measures will include detailed reviews of all IRs to ensure completeness and accuracy. Common issues will be tracked and addressed through new controls.

 

Team accountabilities include (but not limited to):

-         Review IRs reported via LMS’ dedicated reporting tool (GRC) and carry out full quality checks for completeness and accuracy.

-         Submit IRs post completion / review into LMS’ Compliance / Risk teams for final sign-off.

-         Track all relevant MI and trend analysis arising from the IR reviews.

-         Provide feedback from IR reviews to local operational leads, suggesting additional controls where necessary

-         Maintain a central log of controls in respect of IRs and challenge control effectiveness where appropriate.

-         Identify and report failed controls to the Senior Team and Risk Committee.

-         Open IRs for Justified Complaints or where the business has failed to open an IR following an incident.

Individual accountabilities include (but not limited to):

-         Maintain oversight of IR quality across the wider business and help embed a culture of ‘Right First Time’, establishing and communicating an ‘IR Quality Charter’ to all business areas.

-         Work proactively with all key stakeholders to help drive meaningful and measurable improvements against the areas identified via IR reviews.

-         Maintain regular dialogue with the Compliance, Risk and Senior teams in respect of MI, trends and key focus areas.

-         Carry out all necessary HR activities for the IR team – incl. recruitment, regular staff reviews, management of performance issues, succession planning, housekeeping etc.

-         Ensure IR team members maintain a good working knowledge of our business to support the completion of IR reviews, in addition to all required ongoing mandatory training.

-         Provide support to direct reports when completing IR reviews and implement rigorous controls to track the IR team’s performance against SLA and quality measures.

Qualifications

Required:

- Minimum 5 GCSEs including Maths and English, Grade A-C level (or equivalent) 

- IOC or ICSA qualification, or willingness to obtain qualification within 24 months of commencing your role.

Desired:

Degree educated or equivalent experience

- Previous experience in a Quality Assurance role

- Knowledge of share registration and financial services 

Additional Information

Link Group’s purpose statement ‘Together we achieve’ reflects how much we value working together: with each other; with our clients; and with third parties, to help everyone achieve success – both personal and professional

We have an ongoing commitment to career progression, training and education as well as a competitive compensation and benefits package that under pins this.  

At Link, you’ll find we support achievement and celebrate success.  So, if you want to be a part of this, click the ‘I’m Interested’ or Apply button…

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