Business Quality Associate

Novia Recruitment
Bath, Somerset
17 Jun 2017
17 Jul 2017
Contract Type
Full Time

The key competencies in the role are as follows:-

  • To accurately assess the suitability of advice given by Advisers against the standards set by the Company.
  • To assess the clarity, accuracy and adequacy of Adviser documentation and record keeping against the standards set by the Company.
  • To issue clear and accurate feedback confirming any required remedial actions necessary to avoid negative consumer outcomes.
  • To ensure that any required remedial actions are completed by Advisers within acceptable timescales.
  • To maintain knowledge of the Company's compliance procedures and relevant Regulatory Rules.
  • To maintain the technical knowledge necessary to assess the suitability of advice provided by advisors across the range of products and services offered by the Company.
  • Ability to identify and report potential cases of financial crime.
  • To maintain records to the standards necessary to demonstrate Adviser and departmental performance.
  • To effectively communicate with and deal with queries raised by Supervisors.
  • To meet the departmental standards with regard to service standards and productivity.

    This is a fantastic company and opportunity and to be considered you must be able to demonstrate the following:-
  • Investigating and assessing suitability and quality of advice
  • Provision of clear and concise feedback
  • Good communication skills including writing, presenting and influencing
  • Ability to build and maintain relationships while at the same time remaining impartial
  • Ability to ensure that identified remedial actions are followed through
  • FCA Objectives, Principles and COBs Rules
  • Personal Financial Planning - taxation and products
  • Corporate Financial Planning - taxation and products

    You must be able to also demonstrate, experience in a compliance or advisory role within an FCA-regulated retail environment. Recognised professional qualifications equivalent to FPC are mandatory.

    Willingness to work towards CII Diploma or equivalent and any Regulatory RDR qualification requirements