Business Quality Manager

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

Responsibilities: 

• 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

Skills:

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