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Head of Advice Oversight (Exclusive role)

  • Location

    Cheshire West and Chester

  • Discipline:

    Compliance

  • Job type:

    Permanent

  • Salary:

    c.£65,000 + car allowance + bonus + benefits

  • Consultant:

    #

  • Email:

    rabelson@merje.com

  • Job ref:

    RA/15272

  • Published:

    7 months ago

My client is a market leading financial services organisation looking for an individual who will report to the Group Risk & Compliance Director and lead a firm centric approach across the group technical review teams supporting best practice in all areas.  

Key Accountabilities

  • Ensuring the assessment standards are current and relevant, promoting these assessment standard across all clients and members. 
  • Creating best practice examples through different communication channels.
  • Actively work with and support key stakeholders.
  • To act as an ambassador for the team, engaging with key stakeholders, Advisers and Senior Management.  This will be through written updates, forum presentations, reporting and individual discussion.
  • To oversee and support specialist case reviews as well as conducting thematic reviews and regulatory driven projects as and when required
  • To support the role of Quality Analysts in the first line team and to monitor the overall performance of the team in line with second line control assessment activity. 
  • Review and maintenance of effective systems and controls to ensure cases are reviewed and resolved to a high and consistent standard.  Ensure that standards meet FCA regulations and the Group’s compliance standards; conducting test scenarios to demonstrate appropriate controls being applied in Offshore.
  • Ensuring that processes for identification and referral of unsuitable advice cases are followed by and promoted within the team.
  • Ensuring that accurate, orderly and accessible records of file reviews are maintained.
  • Ensure the team act in accordance with the T&C schemes and maintain ongoing competency.
  • Ensure suitable Mortgage/ Pension/Investment Learning material is delivered using eLearning and virtual means and updated regularly
  • To manage and develop key supplier relationships
  • To undertake projects as and when required, to support the needs of the business or to achieve departmental objectives.

Key Requirements-

  • Diploma in Financial Planning (or equivalent)
  • Previous experience within an advisory environment with an in-depth knowledge of products, markets and regulatory environment.
  • Management experience within an Advisory team
  • An effective and persuasive communicator – both inside and outside the organisation
  • Collaborative approach – shows consideration concern and respect for others and works effectively with them to achieve results
  • Resilience to cope with varying workloads and pressures.

Salary is entirely commensurate with experience but will reflect the significance of the role. Benefits are comprehensive and will also include a generous car allowance and decent bonus potential.