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My client a leading financial services group based in Somerset, are looking to recruit a Business Quality Associate to undertake file reviews and act as a quality filter for all files submitted, in conjunction with the Business Quality Manager, to ensure that the advice provided meets business and regulatory requirements. You will also help manage a pre-approval process for High Risk advice areas such as Drawdown, EIS, VCTs and BPR solutions. Assist with the management of complaint investigations and outcomes. Occasional travel may be required between offices.
Internal Customers * Review an appropriate number of pre and post advice files in line with the firms' training and competence scheme and provide constructive feedback to the advice teams. * Chase any missing information and remedial action from advice teams within agreed timescales. * Identify key areas for development in the advice teams from file reviews and recommend training to address any knowledge and skills shortfalls to the T&C supervisors. * Assist with complaint investigations and liaise with the Financial Ombudsman Service as and when required. Regulatory/Technical Support * Provide additional technical and regulatory support to advice teams where needed on the provision of advice. Regulatory Developments * Maintain awareness of Regulatory developments which may have an impact on the business. * Identify any issues which may adversely affect the business, escalate to Head of Risk and Compliance as and when necessary. * Develop and maintain a solid working knowledge of all relevant product ranges, service providers, investment platforms and FCA Principles and Rules. Administration & Reporting * Assist with the preparation and review of management information for monthly board meetings. * Compile file review reports as and when requested and required by the Business. * Provide information for FCA Gabriel reporting purposes. * Assist with maintenance of suitability report templates, ensuring they are up to date and compliant * Assist with requests for additional wording for the reports. Project Work Purpose of Role: To undertake file reviews and act as a quality filter for all files submitted, in conjunction with the Business Quality Manager, to ensure that the advice provided meets business and regulatory requirements. To help manage a pre-approval process for High Risk advice areas such as Drawdown, EIS, VCTs and BPR solutions. Assist with the management of complaint investigations and outcomes. Compliance * Comply with compliance procedures, TCF, Data Protection and FCA Regulations at all times to ensure regulatory requirements and company policies are not breached.
Essential Skills & Experience: * Time spent in similar role within Financial Services Industry. * Demonstrable knowledge and/or experience of file reviews and file review processes. * Extensive experience of working with Microsoft Office products including Word, Excel, Outlook and PowerPoint. * Experience of delivering accurate and relevant information in an appropriate and timely manner. * Good technical knowledge with minimum qualification of DipPFS or equivalent and ideally working toward APFS or equivalent. * Good working knowledge of FCA Principles and conduct of business Rules. * Good understanding of the Financial Planning process. * Strong interpersonal skills, both written and oral communication. * Excellent accuracy and attention to detail.
Desired Skills & Experience: * Experience of the Enable back office system. * Experience of cashflow modelling. * Good research and report writing skills.
Candidate Profile: * Excellent communicator. * Ability to manage own workload. * Ability to build and maintain rapport with external and internal clients. * Exhibits professional behaviour. * Ability to work with people at all levels of the business. * Highly confident, efficient and a good team player.
Key Role Competencies: * Self-Management. * Relationship Management. * Personal Qualities. * Commercial Focus.