Business Quality Associate
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