Business Quality Manager

Hargreaves Lansdown plc
09 Feb 2018
16 Feb 2018
Contract Type
Full Time

The Financial Adviser division is a well-established and profitable function within the group. It has an ambition to grow rapidly by responding to the recently introduced pension freedoms and, more broadly, by helping to resolve the 'advice gap’ that exists in the UK market.

This role will require strong supervision of the day-to-day activity within the region to ensure good client outcomes are met and that clients are satisfied with the service provided. This will involve managing change and people development, hence a supporting track record of success is desirable, sound knowledge of financial planning and regulated advisory processes, strong verbal and written communication skills and a high degree of organisation.

Key Duties and Responsibilities:

  • Responsible for carrying out specific risk-based work at the direction of the regional manager to ensure that sales made through Hargreaves Lansdown meet legal and regulatory requirements
  • You will work with the Regional Manager in monitoring and assessing advisers competency standards
  • Ensuring all TC requirements are adhered to within the area and to contribute to the actions required for development of Adviser competence levels and the application of plans to address shortfalls where appropriate
  • Undertake appropriate business reviews across the region
  • Risk assessed sampling of client suitability report across the region
  • Support Regional Manager to develop trainee/new advisers
  • Occasional post sale client contact
  • Client meeting observations to ensure regulatory and HL standards are met
  • Maintenance of suitable TC records covering CPD and ongoing competence
  • Support collation and analysis key performance indicators and translation of this into a risk assessment

Essential Requirements:

  • QCF level 4
  • Good working knowledge of Data Protection and Anti Money Laundering
  • Good working knowledge of COBS, TC and FCA legislation
  • Experience of working in a sales environment
  • Accurately and objectively assess and record factual information
  • Analyse, monitor and evaluate people, processes, systems and controls
  • Ability to coach individuals
  • Good communication skills, including writing, presenting and influencing
  • Competent IT skills
  • Ability to build and maintain effective relationships whilst at the same time remaining impartial

Desirable Requirements:

  • QCF level 6
  • Experience in the application of the regulatory rules and requirements within COBS and TC
  • Adept in Managing or leading
  • Proven skills in monitoring, coaching and developing individuals and teams

Hargreaves Lansdown is an inclusive working environment and values diversity in its workforce. As part of your application we would be grateful if you could complete an equal opportunities section. The information will be used solely for diversity monitoring purposes and is not visible to the person reviewing your application form.

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