Business Quality Officer - Wealth Management

Business Quality Officer - Salary c£45,000 - £50,000 DOE plus Excellent Benefits

Based: Home Based + Office Visits

We are searching for a Business Quality Officer to join our market leading Financial Services Client who provide advice on investments and pensions to HNW individuals and SME's. You will be part of the Risk Management & Compliance team, reviewing the suitability and quality of advice given to customers by consultants representing our client.

Key Responsibilities:

• Accurately assess the suitability of advice given by consultants via file reviews.
• Assess the clarity, accuracy and adequacy of Consultant documentation and record keeping
• Issue clear and accurate feedback confirming required actions to avoid complaints
• Maintain the technical knowledge necessary to assess the suitability of advice provided by consultants
• Identify and report potential cases of financial crime
• Compare reports with both written and audio recorded client documents
• Maintain records to the standards necessary to demonstrate Consultant performance
• Effectively communicate with and deal with queries raised by Supervisors
• Meet the departmental standards in service standards and productivity

Essential Skills and Experience:

• Fully Diploma 4 qualified ideally or R04 and R02 qualified as a minimum
• Several years' experience gained within the Regulated Financial Service environment - specifically across a range of pensions and investments
• Pensions transfer knowledge, willingness to work towards pensions transfer specialist status
• Experience of para-planning and file checking is essential
• Experience in a compliance / advisory role within an FSA-regulated retail environment is essential
• Investigating and assessing suitability and quality of advice
• Dealing with FSA objectives, Principles, advice processes and propositions
• Data Protection Agency and Financial Crime requirements
• Personal and Corporate Financial Planning
• Excellent communication abilities and a good level of numeracy is essential

Are you an experienced File checker / Business Quality officer in a regulated environment? Or an Advisor with some experience of File Checking or Para-planning? This opportunity to join our professional and successful Client could be the perfect move for you. Apply online or contact us for more information.

Radley Recruitment is dedicated to helping you find your next career move, so if you are looking for a new role, submit your CV and we can help you find that perfect job.