|Salary||£37,000 - £40,000|
Exciting opportunity for a Business Quality and Complaints Adviser to join an established and growing firm in their Manchester office.
The successful candidate will assist the firm by monitoring the quality of advice delivered to clients and working with advisers and senior managers to help ensure our clients are treated fairly.
The main purpose of the role is to determine whether a case is suitable and complies with the firm’s standards. You will be required to adopt a pragmatic approach and be comfortable using their own judgement.
• Conduct client file reviews, on both a pre- and post-sale basis, to determine whether it meets company requirements and is compliant with relevant regulation.
• To provide effective, constructive feedback and determine and communicate the remedial action required to manage or mitigate the material risks identified.
• To ensure that the remedial actions are completed to a successful conclusion.
• To record and maintain appropriate records for all files or transactions reviewed, that would be sufficiently robust for both internal and external audit purposes.
• To provide timely and accurate management information when required.
• Provide training to advisers and paraplanners, as required.
• Liaise with, and provide assistance to, other areas of the business in relation to case and advice related queries.
• Communicating effectively with stakeholders.
• Providing clear, constructive feedback.
• Effective time management, including prioritising work and meeting deadlines.
• Decision making, using evidence to form a view and communicate rationale.
• Working effectively within a team.
• Obtained or be working towards relevant Level 4 qualification, e.g. Diploma in Financial Planning.
• Strong knowledge of advice process.
• Basic knowledge of FCA requirements.
• Knowledge of basic retail investment products.
• Industry experience in a relevant role in an FCA authorised financial services firm.
• Previous experience as paraplanner or adviser preferred, however not essential.
Should you have any questions or wish to apply please do not hesitate to contact Clear IT Recruitment Limited.
Please Note: Due to the number of applications we receive we may be unable to respond to every application directly. If you have not heard from us within 3 working days please assume your application has been unsuccessful.
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