Business Quality Assessor

BWD Search & Selection
£35,000 per annum
12 Sep 2017
18 Sep 2017
Contract Type
Full Time
Locations to include Birmingham, Salisbury, Glasgow, Edinburgh, Manchester

Are you passionate about quality, do you want to be part of a business that is constantly evolving to be the best version of itself, do you want to add value, monitor standards and shape processes in order to deliver positive consumer outcomes?

If so, this may well be the opportunity for you, as a highly progressive National IFA business is looking to add further Business Quality Assessors to its established Compliance function on a national basis.

Your core duties and responsibilities would be as follows:

· Working as a key team member of the Compliance Department supporting Advisers and Paraplanners with quality standards and file reviews
· Feeding back to Advisers on a regular basis in a constructive, timely and professional manner
· Identifying trends and proposing remedial actions with documented follow ups for review
· Conducting root cause analysis, recording relevant MI and escalating any issues to relevant stakeholders
· Working in conjunction with the wider Compliance department to promote adherence to internal processes and policies whilst also being aware of current and emerging FCA requirements

You will ideally have the following skills and experience:

· Demonstrable track record of providing business quality assessment and file reviews for advisers
· QCF Level 4 as a minimum, any progression towards chartered status would be advantageous, but is not essential, the desire to attain level 6 is preferred
· AF3/G60 would be of particular interest though is not essential
· Current and thorough knowledge of the UK’s regulatory requirements within an advisory setting
· Detailed and technical understanding of platforms and products across both investment and non-investment
· Skilled communicator with the ability to deliver constructive feedback and challenge in a positive and engaging manner
· Competent with back office systems and the Microsoft suite of products e.g. Word & Excel

There are a number of national locations where there may be the opportunity to work within an office setting, there may also be the opportunity to work from home should circumstances permit it.

You will enjoy a competitive basic salary and benefits package including Group Pension, DIS, Share Option Scheme and the opportunity to progress you career and professional competence by way of funded study support.

Should this opportunity catch your eye please click the ‘Apply’ button, or, alternatively send your CV to