Main characteristics
- Location
- Derby, Derbyshire
- Company
- H2O Recruitment Services
- Employment type
- Permanent
- Category
- Accounting / Financial / Insurance
Job summary
My client are looking for a Quality Assurance and Risk Specialist to join their team.You will be responsible for providing second line oversight by conducting file reviews on Adviser written business. Helping the team to ensure that our Appointed Representatives conduct business that complies with our policy and procedure and reflects good customer outcomes.
Theres lots to do
You will be sampling adviser activity across the broad spectrum of written business providing feedback on risks, customer outcomes and supporting improvement through feedback and engagement at adviser, business, and network level.
To be successful in this role you will be:
Able to demonstrate knowledge and understanding of the regulatory requirements for the market we operate in.
Able demonstrate good judgement and self-sufficiency to enable sound decision making
Able to use investigative skills to easily identify areas of regulatory risk
Able to manage your time to deliver required number of case reviews
Able to demonstrate effective relationships with key stakeholders through positive response to feedback provided
Able to communicate at all levels with professionalism and integrity
Main Responsibilities
Conduct file reviews on adviser written business using the review framework provided
Use your knowledge and evaluation skills to identify the correct customer outcome on files reviewed
Provide clear guidance on remedial actions required supporting education and development of adviser knowledge
Work closely with other members of the Compliance function to ensure a joined-up approach to adviser improvement
Promote effective working relationships with key stakeholders to deliver business requirements e.g. Advisers, Business Owners
Escalation of areas of concern to avoid customer detriment or risk of fraud
Contribute to compliance organisational strategies
Contribute to the overall business goals to help us achieve our vision
KPIS Volume of checks completed to support departmental target
Accurate identification of review risks & outcome allocation
Resolution of remedial actions on cases reviewed
Key Information
Qualifications required:
CeMap or equivalent Reports to: Quality Assurance & Risk Team Manager
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