Business Quality Controller

5 months ago

Bath, United Kingdom JUICE RECRUITMENT Full time

Business Quality Controller

Do you have a background in compliance and or para-planning? Are you looking to join an award winning wealth management employer offering excellent benefits?

We are supporting a leading financial services employer in Bath who are recruiting due to an internal promotion.

DAY TO DAY:
Review pre and post advice files in line with firms T&Cs scheme

Provide constructive feedback and support to the advice teams to deal with remedial action quickly

Assist with business complaint investigations and business issues and liaise with staff to resolve in a timely manner

Provide technical and regulatory support to advice teams where appropriate

Maintain awareness of regulatory environment
Identify issues which may adversely affect the business, escalate to line management

Comply with compliance procedures including TCF, data protection and FCA regulations

WE WOULD LOVE TO SEE:
Time to see spent in a similar position or para-planning withing financial services industry

Excellent experience in MS Products, experience of delivery accurate and relevant information in a timely manner

Good technical knowledge with level 4 industry qualifications eg DipPFS

Good working knowledge of FCA principles and conduct of business rules

Good understanding of financial planning process

AND FOR YOU:
25 days holiday

Life assurance, pension scheme, income protection, funded training, health-cash plan

Electric vehicle scheme, gym membership, social impact initiatives / volunteer days

Spot bonuses and long service awards

**Salary**: £40,000.00-£50,000.00 per year

**Benefits**:

- Company events
- Company pension
- Employee discount
- Gym membership
- Health & wellbeing programme
- Life insurance
- On-site parking
- Work from home

Ability to commute/relocate:

- Bath, BA1 1QH: reliably commute or plan to relocate before starting work (required)

Work Location: In person

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