Role: Financial Planning Operations – Quality Assurance (Assistant Manager)
Experience: 5+ Years
Location: Pune
Job Purpose
To manage the Quality Assurance team, ensuring the Quality Program is delivered and reports produced within the agreed timescales at the highest level of quality.
To effectively manage the capacity levels and performance of the Quality Assurance team to support their ongoing development.
This role will be a hybrid player/manager role focused on ensuring quality in our operations, and playing a hands-on quality checking role as required.
Core Duties and Responsibilities
Quality Assurance
- To assist the Operations Manager with the ongoing development and management of the quality framework.
- Manage all aspects of issue identification, analysis, remediation and monitoring & reporting, including collaboration with issue owners, aggregation of issues across the business, and facilitation of executive/board reporting.
- To manage the Quality Control (QC) process with reference to Financial Planning (Asset & Wealth Management) internal procedures: Ongoing file checks and ad-hoc QC.
- To participate in the quarterly regional quality meetings and produce quarterly quality reports. Lead the identification of recurring quality themes and collaborate with cross-functional teams to resolve operational inconsistencies and embed control environment.
- Monitoring and reporting on SLAs.
- To monitor and report on key risks/ vulnerabilities noted from QC results: Identify key risk/ incidents, instigate the necessary remedial action and monitor the progress to ensure items are closed.
- To lead and conduct the internal fee audit yearly.
- To conduct root cause analysis of operational incidents, recovery, mitigation planning and reporting.
- To maintain excellent knowledge of all processes and procedures, relevant changes, and risk management.
- To provide the Operations manager with continuing objective feedback on people,quality and process adherence.
- To plan and organise work activities to ensure targets and service standards are met.
- To identify and refer opportunities to improve working practices and/or risk management to enable improvements to be made.
- Conducting hands-on quality checks as required.
Leadership & management
- To demonstrate strong people management capability, supported by clear management experience in previous roles or responsibilities.
- To provide ad hoc and regular upskilling & development coaching to the QC team and Quality champions.
- To provide training to new joiners with respect to quality control and data management.
- To ensure prompt and effective communication with internal/external contacts/ senior leadership.
- To build and maintain positive working relationships with colleagues and key contacts
- Deputise for the Operations Manager, India, as required.
Project Work
- Become a subject matter expert on ad hoc requests as well as longer term projects in areas of the operational risk management framework executed across Financial Planning.
- Support Operations Manager to review/or write process how-to guides/ SOPs
Person Specification
- 5 years’ experience of being a People Manager in an operational environment within the Financial Services sector.
- Risk management, being able to use operational risk frameworks to mitigate business risks/ incidents.
- Understanding of the asset & wealth management proposition and process.
- Strong analytical skills with ability to accurately identify key issues. Support audit readiness by ensuring quality records, actions, and remediation evidence are maintained in a clear and accessible manner.
- Effective resource management. Help shape a proactive quality culture by encouraging ownership, learning, and early risk identification across teams.
- Effective people management is supported by clear management experience in previous roles or responsibilities.
- Ability to manage conflicting priorities and multiple deadlines.
- Be a critical thinker: Thoughtful, self-aware, and use available evidence to make decisions.
- Effective presenter, both written and verbal. Able to work/ deliver in a fast-paced, agile environment.
In line with our culture, you will commit to:
- Do the right thing for the client, the business, and the people you work with.
- Take responsibility for your own actions and contribution to delivering good client outcomes.
- Show respect to yourself, colleagues and clients by role modelling the right cultural values.
- Shape the future by anticipating and responding to the needs of our clients.
At Forvis Mazars, we embrace diversity and are committed to fostering an inclusive culture where everyone feels valued, heard, and empowered. We provide equal opportunities for growth and advancement, regardless of background, identity, or experience. Join a global team where your unique perspective helps shape a more equitable and innovative future. If you’re ready to make an impact and elevate your career, we’d love to hear from you.