Business Quality Manager

TQR Consultancy Ltd
11 Mar 2018
10 Apr 2018
Contract Type
Full Time
One of our prestigious wealth management clients are looking for an experienced Business Quality Manager to join their compliance team.

About your new role and company;

The main purpose of the role is 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. You will work closely with the financial planners, paraplanners and colleagues within the compliance function to ensure the financial planners provide the highest possible standards of advice and service to their clients, understand and meet their regulatory responsibilities and adhere to group policies and procedures. Your overall keys tasks include the following:

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
Attend compliance team meetings
Attend the Business Advice Standards and Quality Committee as and when 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, sales support
Capture and notify the Head of Business Quality, Head of T&C and/or the Compliance Director of any risks to the business via agreed protocols
Maintain an awareness of Group’s strategy and propositions
Work closely with compliance colleagues to share ideas and best practice
Participate in appropriate company and departmental training, competence and development initiatives
Ensure the highest standards of professionalism are maintained
Any reasonable task requested by a member of the Executive Management Team
The successful applicant will have the following skills and qualifications;

5 years + financial services experiences
Proven experience of performing a Business Quality role in retail intermediary business
Excellent knowledge of the UK regularity system, particularly those aspects relevant to advisory business 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 equavilant
First class communication skills
Ability to work under own initiative
Business Awareness
Coaching and development
Familiar with industry back office systems, testing systems etc
Proficient in Microsoft office (Word, Excel etc)
If you are an experienced Business Quality Manager and are currently looking for a new challenge then please submit an up to date CV by using the ‘apply’ button below.

For an informal chat please phone (Apply online only) and ask for Laura. Many thanks for your interest

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