Regulatory Quality Assurance Adviser
The role is to support the Risk & Regulatory Team in ensuring the business is compliant with relevant regulation and legislation, and in assuring the quality of advice and service provided to clients. The role holder will act as a key point of contact for other business areas, and work alongside all members of the team in accordance with business needs.
Key responsibilities include:
- Conducting in house advice and file quality assurance reviews in accordance with product and adviser risk framework; providing feedback and monitoring completion of remedial activities;
- Conducting complaints and errors investigations; completing root cause analysis to identify trends and submitting recommendations to other business areas for improvement;
- Supporting the business to develop, maintain and deliver its wider quality assurance and regulatory monitoring programs in accordance with TCF and the prevailing strategic objectives;
- Supporting the business to deliver in its obligations for ongoing regulatory supervision and development of all approved persons and members of the advice delivery team in accordance with the prevailing company KPIs;
- Accurate record keeping and a flow of relevant information to all areas of the business, including the Executive Board, the wider Departments and externally as appropriate;
- Ad hoc project work including information gathering, recording, analysis, investigation and reporting;
- Providing regulatory and general compliance support and advice to the business;
- Supporting with the review and approval of financial promotions, including (for example) marketing materials, website promotions and company stationery;
- Supporting in the delivery of the firm’s anti-financial crime controls and wider compliance monitoring program;
- Providing administrative support to the team as required.
- Qualified to a minimum of CII Level 4 or equivalent
- Experience in the financial services industry, ideally in an IFA environment
- Have an interest in assuring the quality of client outcomes, in accordance with TCF and other regulatory principles.
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