Head of Advice Oversight (Exclusive role)
My client is a market leading financial services organisation looking for an individual who will report to the Group Risk & Compliance Director and lead a firm centric approach across the group technical review teams supporting best practice in all areas.
- Ensuring the assessment standards are current and relevant, promoting these assessment standard across all clients and members. Creating best practice examples through different communication channels. Actively work with and support key stakeholders. To act as an ambassador for the team, engaging with key stakeholders, Advisers and Senior Management. This will be through written updates, forum presentations, reporting and individual discussion. To oversee and support specialist case reviews as well as conducting thematic reviews and regulatory driven projects as and when required To support the role of Quality Analysts in the first line team and to monitor the overall performance of the team in line with second line control assessment activity. Review and maintenance of effective systems and controls to ensure cases are reviewed and resolved to a high and consistent standard. Ensure that standards meet FCA regulations and the Group’s compliance standards; conducting test scenarios to demonstrate appropriate controls being applied in Offshore. Ensuring that processes for identification and referral of unsuitable advice cases are followed by and promoted within the team. Ensuring that accurate, orderly and accessible records of file reviews are maintained. Ensure the team act in accordance with the T&C schemes and maintain ongoing competency. Ensure suitable Mortgage/ Pension/Investment Learning material is delivered using eLearning and virtual means and updated regularly. To manage and develop key supplier relationships To undertake projects as and when required, to support the needs of the business or to achieve departmental objectives.
- Diploma in Financial Planning (or equivalent) Previous experience within an advisory environment with an in-depth knowledge of products, markets and regulatory environment. Management experience within an Advisory team An effective and persuasive communicator – both inside and outside the organisation Collaborative approach – shows consideration concern and respect for others and works effectively with them to achieve results Resilience to cope with varying workloads and pressures.
Salary is entirely commensurate with experience but will reflect the significance of the role. Benefits are comprehensive and will also include a generous car allowance and decent bonus potential.
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