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Quality and Risk Manager

  • Salary: £35000 - £42000 per annum + £4200 Car Allowance
  • Location: East Midlands
  • Sector: Compliance
  • Job type: Permanent
  • Date posted:
    20 Nov 2017
  • Job reference: 29968

Our client is one of the largest financial advice networks in the UK, with over 2,000 Financial Advisers. We are looking to appoint a Quality and Risk Manager to work for their head office in the East Midlands. The Quality and Risk Manager will develop and maintain the business quality standards amongst the Advisors and firms.

The Role;

  • Act in accordance with the FCA's statement of principles ensuring business quality and adequate supervision of Advisers, practice supervisors and firms
  • Maintain effective communications with all relevant parties
  • Respond appropriately to allegations of fraud, unsuitable advice or negligence
  • Undertake activities in a professional manner with the overall objective of effectively managing risk
  • Undertake telephone based engagement with Advisers, firm principals and Practice Supervisors to deliver necessary assessments and interventions supported by complimentary email contact as appropriate
  • Based on the risk assessment review, identify if additional supervisory activity is required which can be undertaken by remote supervision

To be successful in this role you will need to:

  • You need to Hold your Level 4 Diploma in Financial Planning
  • You will have experience supervising Financial Advisers for regulated purposes
  • You will have full supervisory licence
  • You will be fully competent as a Supervisor
  • Ideally you will have selling experience
  • Ideally hold H15 or J07

Please visit the IDEX Consulting Ltd website for further opportunities. If your application is successful we will contact you to discuss the opportunity in more detail within 2 working days of receiving your application. If your application is unsuccessful, the information supplied may still be retained for use in connection with future vacancies. Due to the overwhelming application response we receive through various sources, should you not hear from us within one week then please assume your application has been unsuccessful.

Our clients include: