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.