about 1 month ago
Working within the financial services sector, you will be responsible for ensuring compliant advice is provided to clients, with a focus on advice deemed to be specialist, complex and/or high-risk.
The role has a dual focus of ensuring outcomes to assess suitability for end customer and management of firms’ business risk. You will support other non-specialist review work, as well as themed reviews and Regulatory driven projects as required.
Key responsibilities include:
- Assessment of specialist, complex and/or high-risk business written against business standards and the provision of clear, accurate and appropriate feedback.
- Assessment of cases selected for themed monitoring and assisting the reporting of the outcome of themes.
- Follow procedures for identifying and referring unsuitable advice cases.
- Following departmental procedures for the correct administration and recording of work, in order to create accurate and robust audit trails.
- Ensure that accurate and accessible records of case reviews are maintained.
- Collaborate with peers and other internal departments in order to maintain quality and consistency of case review work. Where trends are identified, work with any appropriate teams to address these.
- Help to create an open and supportive environment for quality review discussions to take place.
- Liaise with customers by telephone, video calls and in writing to provide a positive customer experience.
- Act in accordance with the department’s T&C document to demonstrate ongoing competency.
- Provide support to colleagues within the team and the group as and when required.
- To understand the significance of TCF as the prime driver within the department and business highlighting any procedures & processes that do not adhere to the principles of TCF and put forward suggestions to improve TCF practices.
- To undertake projects as and when required, to support the needs of the business or to achieve departmental objectives.
- Diploma in Financial Services (QCF Level 4)
- G60/AF3/AF7/AwPETR or equivalent
- Knowledge of key advice areas to include investments, pensions (including occupational pension transfers) and trust structures.
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.