Location
Birmingham
Salary £40000 - £55000 TypePermanent WorkplaceHybrid Ref89627
Recruiter Managing This Role
Compliance/Advice Quality Manager Stourbridge up to £55,000
This is an award winning financial planning and investment company that specialises in proving a wide range of services to private clients, corporations, HNW individuals and financial services professionals across the UK.
This company have an exciting opportunity to work alongside the Managing Director and wider SLT panel.
This role will be a vital part of the financial planning process supporting across multiple functions / stakeholders, ensuring operations are carried out correctly.
Role Responsibilities
1. Responsible for 1st line quality assurance monitoring across Wealth Planning.
2. Ensuring all relevant 1st line checks are being completed by the relevant Managers to a consistent frequency and standard
3. Ensuring escalations are managed in line with business requirements
4. Responsible for some 1st line monitoring activities, e.g. vulnerable client processes
5. Supporting the business with key trends analysis
6. Working with the Head of Business Assurance to build effective MI
7. Involvement in key monitoring projects as and when required
8. Review effectiveness of controls and design enhancements, where possible
Experience Requirements
9. Excellent knowledge and experience working within the FCA and to regulatory frameworks
10. Strong technical knowledge and skills relating to financial services industry
11. Comfortable providing constructive feedback
12. Able to support coaching, mentoring, and develop staff
13. Ability to work under pressure
14. Ability to work with senior stakeholders within the business