One of our prestigious wealth management clients are looking for an experienced Business Quality Manager to join their compliance team.
About your new role and company;
The main purpose of the role is to contribute to the work of the Compliance Department in delivering company advice standards and ensure that FCA expectations are met across authorised subsidiary businesses. You will work closely with the financial planners, paraplanners and colleagues within the compliance function to ensure the financial planners provide the highest possible standards of advice and service to their clients, understand and meet their regulatory responsibilities and adhere to group policies and procedures. Your overall keys tasks include the following:
- Undertake post sale file reviews, pre-sale report reviews, review pre-approval requests and assist with thematic reviews and due diligence projects.
- Contribute to compliance projects as and when required
- Identify planner training needs from file review findings.
- Promote the Group’s compliance culture, policies and procedures
- Provide the Head of Business Quality with regular reports on activity
- Provide the T&C team with reports on planners as required
- Attend compliance team meetings
- Attend the Business Advice Standards and Quality Committee as and when required
- Contribute to the development and implementation of Group Compliance Policy as required
- Develop positive working relationships based on professional, mutual respect and empathy, with key internal stakeholders, e.g. planners, paraplanners, admin, sales support
- Capture and notify the Head of Business Quality, Head of T&C and/or the Compliance Director of any risks to the business via agreed protocols
- Maintain an awareness of Group’s strategy and propositions
- Work closely with compliance colleagues to share ideas and best practice
- Participate in appropriate company and departmental training, competence and development initiatives
- Ensure the highest standards of professionalism are maintained
- Any reasonable task requested by a member of the Executive Management Team
The successful applicant will have the following skills and qualifications;
- 5 years + financial services experiences
- Proven experience of performing a Business Quality role in retail intermediary business
- Excellent knowledge of the UK regularity system, particularly those aspects relevant to advisory business e.g TCF, RDR and Mortgage Market Review
- Good knowledge of platforms and products from a technical as well as regulatory perspective
- QCF Level 4 qualification with desire/ambition to attain Chartered Financial Planner status or equavilant
- First class communication skills
- Ability to work under own initiative
- Business Awareness
- Coaching and development
- Familiar with industry back office systems, testing systems etc
- Proficient in Microsoft office (Word, Excel etc)
If you are an experienced Business Quality Manager and are currently looking for a new challenge then please submit an up to date CV by using the ‘apply’ button below.
For an informal chat please phone 01752 252533 and ask for Laura. Many thanks for your interest.