Quality Assurance Manager

This role forms part of the Regulatory Operations Team (Reg Ops) and will manage and oversee the Quality Assurance Unit (QAU) who are the first line of defence for Reg Ops. As such, the QAU provide comprehensive and confidential quality assurance analysis of Client On-Boarding processes and covering all Reg Ops teams based in all jurisdictions.

In addition this role will provide technical support and training to the Reg Ops team members of all levels and assist the Reg Ops Managers with performance data at both administrator and client level.

Key Responsibilities

• Manage a small team who are responsible for the governance of Reg Ops policies and procedures, provide quality assurance analysis and provide technical support and training to Reg Ops
• Work closely with Risk & Compliance, Reg Ops and other functions to maintain a robust and up to date suite of Reg Ops processes and policies, including the CDD Toolkit and the Corporate Governance Toolkit
• Ensure quality checks are carried out each quarter on a sample of new business that has been accepted by the fiduciary business and/or the law firm
• Ensuring the on-boarding process has followed internal policy and procedures in relation to CDD, screening and the risk assessment
• Work closely with the Reg Ops Management Team to identify the frequency and volume of QA testing per administrator
• Provide immediate feedback, coaching and support where development areas are identified and/or remediation work is required
• Prepare reports for each jurisdiction on QA testing findings and make recommendations for training and any remediation
• Present training sessions for the Reg Ops Teams to make them aware of any trends in quality issues and ensure they are aware of the latest requirements per internal policies and procedures
• Knowledge share in team meetings, promote best practice and support Reg Ops teams with complex matters
• Work closely with Risk & Compliance, Client On-boarding Unit (COU) and Senior Management to ensure a strong understanding of and adherence to the client acceptance and AML policies and procedures
• Assist Senior Management with the review of on-boarding procedures to ensure process and procedures are aligned to regulations, refreshed as appropriate and communicated to the team
• Consolidate change requests for improvements to systems, obtain relevant approval and carry out testing before communicating changes
• Contribute towards the business as a whole in identifying process improvements, improvements in policies and procedures and any other service innovation changes that improve the client experience

Skills, Knowledge and Expertise

• Minimum of 5 years' experience working in a compliance and/or client due diligence environment
• Solid understanding of the regulatory requirements affecting law firms and trust company business
• Hold an AML certificate or similar equivalent
• Excellent IT skills, including Microsoft Office suite with a willingness to learn and adapt to new technology
• Experience in coaching and developing others
• Good analytical and organisational skills with the ability to prioritise work and meet deadlines
• Ability to make decisions and use own initiative within the scope of regulatory requirements, policies and procedures
• Strong attention to detail, applying rigorous process analysis to drive alignment and consistency

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