Quality Assurance Specialist – Financial Services – J – 688
£38,000 – £45,000
Wealth Management – QA Specialist
The QA specialist will act as first line of defense conducting file checks to ensure advice is given according to the firm’s policies.
Design, implement and consistently review the methodology for checking and reporting findings to advisers, their managers and the senior management team which includes clear data to allow KPIs to be monitored..
Provide input to training events to improve knowledge and drive up advice standards.
Work with fellow Quality Assurance Specialists ensuring a consistency of view from this function.
Work with the Head of Research and Advice and the Director of Financial Planning to fully understand and apply the strategy and guidance set out for the team.
Work with the Financial Planning Manager and Paraplanner Manager to raise issues affecting quality, commerciality or timescales for advice.
Work with T&C team to ensure timely acquisition of competent status for new advisers.
Work with the compliance team who provide 2nd line of defence checks to ensure any audit findings are communicated within the team and become the subject of future checks
To actively build constructive relationships with other members of staff, (supervisor, manager, colleagues), providing support for other team members. Share and develop ideas, listen and consult with colleagues. To build and maintain a professional service to meet the needs of our clients and external contacts.
To understand and comply with the requirements of our regulators, as they impact upon the business.
To demonstrate detailed job knowledge and expertise in own area and capably answer technical questions from clients or colleagues.
To be able to deal with data quickly and accurately and relate and compare data from difference sources. Recognise trends, identifying key issues and securing relevant information.
Attention to detail and quality
To regularly check work, ensuring all details are correct in order to maintain a high level of accuracy and a low level of errors within agreed deadline.
Procedures and processes
To demonstrate a methodical and consistent approach toward work and build systematic work processes into activities and tasks. Follow company policy and adhere to recommended working practices.
This role requires pensions knowledge and qualifications, AF3 or equivalent.
To apply for this position please call the office on 0161 973 0133 or email email@example.com
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