UA-185291695-1 Business Quality Manager, Jobs, 341

Business Quality Manager

Compliance Analyst - Manchester, North West England

Ref: 341Monday 6 December 2021

This is a brilliant opportunity for a professional Compliance candidate to join a National Financial Planning firm with an excellent reputation.


  • Conducting client file reviews, on both a pre- and post-sale basis, to determine whether it meets requirements 
  • Providing effective, constructive feedback and determining and communicating the remedial action required to manage or mitigate the material risks identified
  • Ensuring that the remedial actions are completed to a successful conclusion
  • Recording and maintaining appropriate records for all files or transactions reviewed, that would be sufficiently robust for both internal and external audit purposes
  • Providing timely and accurate management information when required
  • Providing training to advisers and paraplanners, as required
  • Liaising with, and providing assistance to, other areas of the business in relation to case and advice related queries


  • Level 4 Diploma qualfiied, or working towards
  • Excellent communication skills, both written and verbally
  • FCA knowledge