Business Quality Associate

Professional Recruitment Ltd
Bath, Somerset
08 Jun 2017
08 Jul 2017
Contract Type
Full Time

We are please to present a fantastic opportunity and brilliant role working for a market leading Wealth Management, Insurance and Employee Benefits organisation. You will undertake file reviews and act as a quality filter for all files submitted, in conjunction with the Business Quality Manager, to ensure that the advice provided meets business and regulatory requirements.

The role holder will be responsible for:

  • Reviewing an appropriate number of pre and post advice files in line with the firms training and competence scheme and provide constructive feedback to the advice teams
  • Chase any missing information and remedial action from advice teams within agreed timescales
  • Provide additional technical and regulatory support to advice teams where needed on the provision of advice
  • Assist with the preparation and review of management information for monthly board meetings
  • Compile file review reports as and when requested and required by the business

It is essential that you have spent time in a similar role within the financial services industry and that you have demonstrable knowledge and experience of file reviews and the file review process. You must have good technical knowledge with minimum qualification of DipPFS or equivalent and ideally working towards APFS or equivalent. You will need to have good working knowledge of FCA Principles and conduct of business rules. To be considered for this role you will be expected to have excellent accuracy and attention to detail with the ability to manage your own workload.

If you meet these requirements and feel it is time for a fresh opportunity then please apply today!