Incident Reporting and Quality Assurance Administrator

  • 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 Incident Reporting and QA Team is responsible for monitoring and reviewing all incident reports (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 team drives IR quality assurance, provides 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 communications 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.

-         Work within agreed SLAs when monitoring the flow of IRs to ensure they raised, reviewed and closed correctly.

-         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 appropriate.

-         Arrange and facilitate training workshops with operational areas to drive improvements as applicable. 

-         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 within own workload and help embed a culture of ‘Right First Time’ with any key stakeholders dealt with.

-         Work proactively with all key stakeholders to help support them in improving the quality of the IRs they produce.

-         Maintain regular dialogue with the IRQA Lead in respect of MI, trends and key focus areas.

-         Support the IRQA Lead by providing insight, trend analysis and administrative support.

-         Ensure that all insight and trend analysis provided to the IRQA Lead is clear, accurate, considered and timely.

-         Perform bespoke administrative duties tasked by IRQA Lead and Senior Management.

-         Provide accurate feedback to key stakeholders in relation to quality assurance of IRs.

-         Maintain good relationships with key stakeholders when faced with challenges relating to priorities and processes.

-         Monitor the shared inboxes and provide timely, accurate responses to queries.

Maintain attention to detail and timely, accurate reviews in an adapting environment with shifting priorities.

Qualifications

Specific experience / competencies required:

  • Experience working in the finance sector is required.
  • Experience using checking systems such as Accuity and / or WorldCheck
  • Proven track record and experience of CDD requirements for a wide range of customers including private companies, government entities, regulated and unregulated funds, off shore jurisdictions and introducing brokers.
  • Good organisational skills and the ability to work well under pressure.
  • Advanced written and oral communication skill

Additional Information

Specific experience / competencies required:

  • Experience working in the finance sector is required.
  • Experience using checking systems such as Accuity and / or WorldCheck
  • Proven track record and experience of CDD requirements for a wide range of customers including private companies, government entities, regulated and unregulated funds, off shore jurisdictions and introducing brokers.
  • Good organisational skills and the ability to work well under pressure.
  • Advanced written and oral communication skills

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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