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|Location||City of London|
Investment & Middle Office
Overall purpose of role
Quality Assurance Management is a key role within the Regulated Sales function, helping to ensure consistent delivery against client fiduciary expectations, whilst enabling well governed and scalable growth. The role will therefore set the highest standards of compliance and control, and will ensure that a robust control framework is in place to achieve this and is enforced.
Undertake business quality management checks for Advisers within Private Client Managers. Working closely with the Head of Training & Competency to ensure we meet our quality objectives and operate a best in class risk control framework. Embed regulatory process and have direct engagement with key policies in their design, piloting, testing and roll-out. Ensuring the business maintains the standards expected by the Regulator.
Apply and enforce consistent 'high bar' standards around all core processes through ongoing monitoring and conformance testing. Drive performance improvements across the full agenda of front office business quality related accountabilities and deliver consistency and execution of best practice standards across all core processes regarding client sale and suitability.
Ensure effective oversight of risk control for the business, promoting a culture of compliance and risk awareness and "prevention over detection". Proactively identify risk and trend indicators and provide action-oriented escalation to management. Support the execution of all Front Office Audit and Compliance Monitoring engagements, assisting the closing of all Front Office actions.
Assist in the training of all new regulated Advisers during their initial induction. Provide support to the Regional Sales Managers with the ongoing training of the Advisers through regular feedback sessions and sharing of best practices.
Stakeholder Management and Leadership
The role holder will liaise with Advisers, Regional Sales Managers, Head of Training & Compe
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