Our client is a leading Financial Services provider and they are looking for a Business Quality Manager to join the South West Team.
Purpose of role:
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. Work with financial planners, Paraplanners and colleagues within the compliance function to ensure financial planners provide the highest possible standards of advice, and service to clients understand and meet their regulatory responsibilities and adhere to group policies and procedures. This role is central to the delivery of positive outcomes to clients.
- 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
- 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, and sales support
- 5+ years financial services experience
- Proven experience of performing a Business Quality/assurance role
- Excellent knowledge of the UK regulatory system, particularly those aspects relevant to advisory businesses, 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 equivalent
This is a full time permanent role working Monday to Friday 9.00am-5.30pm offering a salary circa £40,000 based on experience, plus benefits.
Please contact Gemma Lawrence at Meridian on 01722 328038 or email email@example.com to apply and find out more.
Meridian Business Support is acting on behalf of our Client as a Recruitment Agency.