£40000 - £50000 per annum, Benefits: Pension & Benefits Package, Excellent bonus potential
0113 274 3000
11 months ago
If so, this may well be the opportunity for you, as a highly regarded banking organisation with a household brand name, is looking to appoint a Quality Assurance Manager to work in partnership with their Advisers and Private Client Managers to support the delivery of quality advice and outcomes for consumers.
Your core duties and responsibilities would be as follows:
· Undertaking business quality reviews and checks across Investment Portfolios & Discretionary Portfolio's
· Providing constructive and comprehensive feedback to advisers and key stakeholders whilst acting as an advocate for quality standards - both face to face and via telephone/email
· Producing and assessing MI around compliance standards and flagging any issues or concerns to relevant departments
· Conducting call audits and assessments to ensure correct procedures have been adhered to
· Working in conjunction with the wider business to promote adherence to internal processes and policies whilst also being aware of current and emerging FCA requirements that may impact the business
You will ideally have the following skills and experience:
· Demonstrable knowledge and experience of quality assurance within a wealth/investment setting
· Proven experience of quality review work in an IFA/financial/banking/planning environment
· QCF Level 4 is preferred, or significant progression towards this status would be advantageous
· Current and thorough knowledge of the UK’s regulatory requirements, advice process and FCA handbook within an advisory setting
· Skilled communicator with the ability to influence and challenge in a positive and engaging manner
· Can do attitude with a balanced and pragmatic view of compliance and commercial needs
· Competent with FS back office and reporting systems and the Microsoft suite of products e.g. Word & Excel
This role is based in the centre of London and may be of interest to ex advisers or Paraplanners looking to work within a compliance orientated role.
You will enjoy a competitive basic salary and generous benefits package including Pension, annual bonus, DIS, and the opportunity to progress you career and professional competence by way of funded study support.
Should this opportunity catch your eye please click the ‘Apply’ button, or, alternatively send your CV to joanne.mcpherson@bwd-search.