Quality Monitoring Officer, Leading Financial Services Network, Cheltenham

Compliance Quality Monitoring Officer role with one of the UKs leading Networks, based in Cheltenham. Fantastic opportunity!

Job Purpose:
To monitor the quality of advice provided by network members in conjunction with ‘Treating Customers Fairly’

Main Duties:
• Selecting appropriate files for checking to include:
• Checking 1 in 8 files for the advisers within allocated firms.
• Checking adviser competency across a range of business areas.
• Checking for appropriate license approval.
• Reviewing remedial cases and agree actions and deadlines for advisers
• Identifying learning points for the advisor to assist their CPD.
• Identifying issues with file quality & bring to the attention of the Head of Central Monitoring.
• Maintaining own competence & regulatory knowledge to ensure effective file checking.
• Assisting in complaint handling and financial promotion sign off as required.

Qualifications:
Certificate in Financial Planning modules CF1-CF6.
Additional qualifications when looking at specialist advice areas

Skills:
Effective communicator
Attention to detail
Ability to analyse information
Highly organised
IT literate

Experience:
Mandatory: Experience of working in financial services
Desirable: Experience of working in compliance environment.

To apply for this role, please click here.