Regulatory Quality Officer

Posted 20 November by Mulberry Recruitment Featured

Regulatory Quality Officer

Location : Farnborough

Salary : £40,000

My client who are based in Farnborough are looking for a Quality Officer/Case Reviewer/Case Handler to join their team on a 12 month contract covering maternity. We are looking for candidates who have got experience working in a regulatory environment within the Financial Services sector.

To remotely review the suitability and quality of advice given to customers by Consultants representing my client and to ensure that any identified areas of concern or development are appropriately addressed.

To maximise risk mitigation by providing proactive identification and monitoring of regulatory, control and process risks, thereby supporting management in ensuring the optimisation of suitable consumer outcomes.

The Quality Officer is responsible for reviewing cases pre sale. 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 Quality Officer team sits next to the following teams: T&C, Paraplanning and DB. A lot of knowledge within the Farnborough office so this will be an enriching experience.

Reference: 33845071

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