Cheshire West and Chester
c.£65,000 + car allowance + bonus + benefits
almost 2 years 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.
- 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.
- 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.