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Business Quality Advisor

  • Location

    Manchester

  • Discipline:

    Compliance

  • Job type:

    Permanent

  • Salary:

    c.£35,000 + Benefits

  • Consultant:

    #

  • Email:

    pclayton@merje.com

  • Job ref:

    PC/13719

  • Published:

    6 months ago

Our client is a well-respected financial services organisation looking for a Business Quality Adviser to join their Business Quality Team.

The role-

  • To carry out client file reviews to determine whether the suitability of advice against the company’s business standards and regulatory requirements and identify material risks.
  • To determine compliance with the Conduct of Business requirements and ensure that the company’s clients have been treated fairly.
  • To provide effective feedback and direction of the remedial action required to manage or mitigate the material risks identified.
  • To ensure that the remedial actions are addressed through to a successful conclusion.
  • To ensure that all reviews are completed in a fair and consistency manor in line with the defined standards for business quality assessments.
  • To record and maintain appropriate records for all files or transactions reviewed that will be sufficiently robust for both internal and external audit purposes.
  • To provide timely and accurate management information when required to support the Business Quality and Complaints Manager’s reporting obligations.
  • Assist in providing Business Quality training to advisers and Paraplanners as required
  • As and when the business requires, as the Business Quality and Complaints Teams skills are largely interchangeable, and as such the role may include assisting in the assessing and handling of Complaints as per the Complaints Investigator Role Profile.

Key Requirements-        

  • A minimum of 2 years’ experience in a business quality assessment/review.
  • Diploma in Financial Planning / Level 4 Qualified (or progress towards)
  • Good understanding of retail investment products