Head of Ar Oversight and Partnership Standards

6 months ago

Swindon, United Kingdom Birchlake Recruitment Full time

Birchlake Recruitment Swindon, United KingdomPosted 10 hours ago Hybrid Permanent £70k - £80k
- A- Posted by
- Abigail Van Rensburg- Recruitment ConsultantFollow

We are delighted to be working with an established and highly regarded Wiltshire based Financial Services organisation that are looking to appoint someone with strategic responsibility for the control framework at first line of defence across the business. There is also a key focus on developing controls and oversight using data and data analytics which add's another interesting dimension to the role

**Essential Knowledge & Experience**:

- 10+ years in Financial Services, with first line experience
- Level 4 Diploma qualified as a minimum
- Delivery of results of a large complex function
- Used to dealing with difficult customer situations
- Excellent facilitation and presentation skills
- Focused on delivering value with experience of overcoming obstacles
- Resilient, proactive, and driven in a changing environment
- Budgetary experience
- Proven ability to engage at all levels, creating buy in and developing a collaborative way of working

**Responsible For**:

- Leadership, management, and oversight of the assurance standards function of up to 40 colleagues
- Design and implement a compliant and effective control framework. that uses data, metrics and leverages technology to provide appropriate oversight and root cause analysis that Identifies emerging risks In line with risk appetite
- Safe execution of the controls within the risk-based framework for the organisation, T&C supervision, financial monitoring, financial promotions, pre and post-sale checking and vetting
- Design and implement a risk-based checking approach which reflects the firms risk appetite and Partners needs to meet its strategic objectives and supports the competence and quality within the Adviser Network.
- Design and ownership of the T&C schemes
- Design and implement the control and monitoring framework for the Financial Promotions function
- Delivery of an assurance and reporting framework across all core operational functions.
- Owning vetting standards
- To develop and deliver continuous improvement initiatives to ensure assurance standards are aligned to support business and operational objectives
- Contribute to key Change Initiatives to ensure processes are designed with consumer outcomes and quality objectives in mind

**Key Accountabilities**:

- Accountable for ensuring that the assurance processes and standards conform to expected industry regulation and the firms business requirements
- Day to day management of the assurance standards function against agreed service standards, key performance Indicators and metrics.
- Clearly documented T&C schemes and safeguarded benefits
- Effectiveness of the overall framework and T&C schemes
- Responsible for the vetting standards and framework and being the initial point of escalation
- Delivery of an appropriately robust Advertising Approval - Financial Promotions framework and safe execution of this function
- Delivery of MI & reporting, undertake analysis of factual and qualitative information to highlight trends, feed into regulatory reporting and prepare RCA to Identify emerging trends to maintain effectiveness of the control framework
- Working closely with Execs, Senior Managers, Business Channels, Operations, Proposition, T&C and Compliance teams to monitor and improve advice quality across the Network
- Manage complex case support from FIRST help desk referrals
- Effective management of demand and capacity to meet agreed quota metrics in line with risk appetite
- Manage annual budget of c. £3-5m
- Represents and presents at key governance groups across the organisation
- Deputises for and/or represents the Operations Director at meetings / groups as required
- Relevant regulatory reporting where applicable
- Business owner of 3rd party outsourced relationships where applicable
- SMCR Certified post

**Benefits**:

- Bonus scheme - 17.5 % on target bonus
- An annual car allowance of £5,486
- Pension scheme - contribute up to 5% of your salary and the business will match you and put in an extra 5%
- Critical illness cover
- Income protection - 1x salary
- Death in service - 4x salary
- 25 days holiday + bank holidays, with the opportunity to buy up to an additional 10 days
- A range of other flexible benefits to include private medical insurance, dental insurance and much more

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