Compliance/Advice Quality Manager

Compliance/Advice Quality Manager focuses on responsible for 1st line quality assurance monitoring across wealth planning.

What the role involves

• Responsible for 1st line quality assurance monitoring across Wealth Planning.
• Ensuring all relevant 1st line checks are being completed by the relevant Managers to a consistent frequency and standard.
• Ensuring escalations are managed in line with business requirements.
• Responsible for some 1st line monitoring activities, e.g. vulnerable client processes.
• Supporting the business with key trends analysis.
• Working with the Head of Business Assurance to build effective MI.

Skills and requirements

• Excellent knowledge and experience working within the FCA and to regulatory frameworks.
• Strong technical knowledge and skills relating to financial services industry.
• Able to support coaching, mentoring.
• Ability to work with senior stakeholders within the business.

Confirmed role details

• Salary £40000 - £55000 Type.
• Permanent Workplace.
• Hybrid Ref89627 Recruiter Managing This Role.
• Compliance/Advice Quality Manager Stourbridge up to £55,000.

Known job details

• Pay: £55,000