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Business Compliance Quality Officer

Posted 16 April by Reed Insurance Ended
My client a leading Financial Services Company is actively looking to recruit a Business Compliance Quality Officer on a FTC basis.  The successful applicant must be able to demonstrate a background in Compliance and Regulation within Wealth Planning and Corporate Financial Services. 

The Officer is responsible for reviewing cases pre sale and all cases are sent to the team inbox and assigned to a team member based on the workload and licenses individuals hold. They must determine whether a case can be signed off or requires more work. If the latest, feedback must be provided to either the paraplanner or consultant’s manager. As a result, they must be able to tactfully communicate feedback both in writing and verbally.

The Busines Quality team sits next to the following teams: T&C, Paraplanning and DB. 
In addition, there is a structured Training and Competence Scheme in place for BQ team which covers both attaining and maintaining competence. This includes KPIs in the areas of productivity and quality. Due to the numerous PLM projects in our pipeline, the pension license will be the priority. The successful candidate will also have access to OPAL – the online library with both the Company’s and regulated standards to follow/apply

The main duties Will be as follows:-

1 To accurately assess the suitability of advice given by Consultants against the standards set by the Company
2 To assess the clarity, accuracy and adequacy of Consultant documentation and record keeping against the standards set by Company
3 To issue clear and accurate feedback confirming any required remedial actions necessary to avoid negative consumer outcomes.
4 To ensure that any required remedial actions are completed by Consultants within acceptable timescales.
5 To maintain knowledge of The Company's compliance procedures and relevant Regulatory Rules.
6 To maintain the technical knowledge necessary to assess the suitability of advice provided by consultants across the range of products and services offered by the Company
7 Ability to identify and report potential cases of financial crime

To be considered you must be able to demonstrate the following:-

IT literate and comfortable with various IT packages
Diploma Qualified or equivalent
AF3 and G60
• ability to compare reports with both written and audio recorded client documents
• attention to detail is key
• hard worker
Experience & Aspirations
• ideally has pension transfer knowledge
• experience within a similar Company (i.e. Investments and Pensions)

This is a FTC role and would suit someone immediate with great FCA and Compliance knowledge. 

Reed Specialist Recruitment Limited is an employment agency and employment business

Reference: 33762025

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