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
* Responsible for 1st line quality assurance monitoring across Wealth Planning.
* Ensuring all relevant 1st line checks are being completed by the relevant Managers to a consistent frequency and standard
* Ensuring escalations are managed in line with business requirements
* Responsible for some 1st line monitoring activities, e.g. vulnerable client processes
* Supporting the business with key trends analysis
* Working with the Head of Business Assurance to build effective MI
* Involvement in key monitoring projects as and when required
* Review effectiveness of controls and design enhancements, where possible
Experience Requirements
* Excellent knowledge and experience working within the FCA and to regulatory frameworks
* Strong technical knowledge and skills relating to financial services industry
* Comfortable providing constructive feedback
* Able to support coaching, mentoring, and develop staff
* Ability to work under pressure
* Ability to work with senior stakeholders within the business
What next?
Apply today to be considered for this Advice Quality Manager opportunity. If suitable, one of our specialist consultants will be in contact to discuss the opportunity with you in detail prior to submitting your CV to the client. In this discussion we will aim to identify your specific skills and motivations, and where appropriate recommend other relevant opportunities to you that match your requirements.
Additionally, refer a friend or colleague to us and receive £200 in vouchers if we assist them in securing a new career.
Synonyms - Compliance Manager, Quality Assurance, T&C, Training and Competence, Leadership, Monitoring, QA, QM