Referment
Quality, Controls and Regulatory Specialist (0799C1D)
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Referment
Referment is working with a not-for-profit workplace pension provider that serves members and employers across the UK. The organisation operates in a regulated financial-services environment and reinvests profits to support customers rather than shareholders.
The Role
- Review the design of operational controls and test whether they operate effectively through structured sampling and evidence validation.
- Deliver transactional quality reviews across end-to-end processes, assessing whether controls and quality standards work as intended.
- Challenge existing control frameworks, investigate exceptions and perform root-cause analysis to recommend practical corrective action.
- Maintain disciplined assurance records, including test scripts, process walkthroughs, evidence, working papers and formal reports.
- Present clear findings and recommendations to colleagues and control owners, adapting complex information for different audiences.
- Facilitate calibration sessions so quality standards are interpreted and applied consistently.
- Support governance connected with pensions regulation, breach management, regulatory reporting and attestation activity.
- Track agreed remediation actions and work with operational teams to strengthen their controls.
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What We're Looking For
- Strong practical experience of control testing, including design-effectiveness and operating-effectiveness assessments.
- A background in controls, assurance, operational risk or quality within financial services.
- A sound understanding of risk and control frameworks, including the Three Lines Model.
- Experience producing robust assurance documentation and reports from objective testing and evidence.
- Strong analytical skills, attention to detail and experience conducting root-cause analysis.
- The judgement and communication skills to challenge constructively and explain findings to varied stakeholders.
- A well-organised approach to managing testing, actions and deadlines.
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Relevant Desirable Experience
- Knowledge of UK pensions, experience in a regulated pensions environment, or familiarity with The Pensions Regulator’s expectations would be useful but is not essential.
This could suit an operational risk, controls assurance, quality assurance or first-line compliance professional who enjoys combining detailed testing with practical improvement work.
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