Advice / Compliance Quality Consultant / Financial Services

Alexander Mae Recruitment
Bristol, UK
12 Sep 2019
25 Sep 2019
Contract Type
Full Time
Advice / Compliance Quality Consultant / Financial Services / Must have Level 4 Diploma


The Company: Superb organisation that genuine value their staff. Market leader in the wealth management / financial services field.

The Job: As an Advice Quality Consultant, the main purpose of the role is carry out quality control checks on work completed by the Compliance Advisers, by providing appropriate feedback to both the Team and the individual.

To analyse compliance cases to identify the root cause of quality issues preventing the application of first time suitable grades for the company and make recommendations for remedial actions and preventative measures.

Key Responsibilities: As an Advice Quality Consultant, you will carry out quality checks on cases meeting an agreed target, adhering to the department procedures and ensuring regulatory principles are upheld

Provide appropriate feedback and coaching to the Adviser either face to face or by telephone ensuring actions are taken to reduce the causes of quality fails

Collate data gained from quality checks and provide input into the completion of both the monthly and ad hoc quality control reports and management information

Identify themes and or training needs resulting from the quality control and root cause analysis review of cases and make recommendations to address these issues

In some cases, be responsible for carrying out remedial actions and recommendations for improvement in processes, training or written materials

Monitor complaint reasons and consider ways to mitigate complaint causes, escalating to senior management, other departments or the Advice Committee where appropriate

Continue Professional Development by way of external exams, internal training, and home study

Attend regular 1:1 meetings with Team Manager and relevant team meetings and attend all relevant team or corporate meetings required to support the role.

The person:Must hold the CII Level 4 Diploma (or equivalent)
PC Literate - including Excel, Word, Outlook
Strong understanding of the advice process
Ability to proactively make decisions and can recognise when issues need to be escalated
Ability to identify potential risks and escalate these as necessary
Strong interpersonal and communication skills with the ability to adapt communication style depending on the need of others
Very good organisational skills, ability to prioritise workload, work under pressure and meet deadlines

The location: Gloucestershire / Bristol area - HOME WORKING AVAILABLEThe hours: Monday to Friday 9am - 5pmThe Salary: Competitive Salary + Superb Benefits package

The Benefits;
Substantial Performance Bonus based on company performance and personal development, Pension 10% of base salary rising to 12.5% then 15% following length of service. Holiday entitlement 25 days rising to 30 days, Life cover equivalent to ten times base salary, Critical Illness for individual and immediate family, Medical Insurance BUPA, Additional benefits include; SAYE Share Options, Salary & Pension Contribution payable in the first 12 months of illness, Eye-Tests, Refreshments, Childcare Vouchers, Season Ticket Loans.

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