Financial Services Oversight Specialist
3 weeks ago
This is a newly created position within the Supervision & Assurance function, supporting the business in its oversight of adviser and firm activity, specifically relating to the provision of Ongoing Service.
Key Responsibilities- Ensure advisers adhere to QFP processes related to ongoing servicing and escalate any issues that are identified appropriately.
- Monitor daily servicing alerts, ensuring activity is logged and appropriate communications are issued in a timely manner.
- Manage adviser responses to alerts and facilitate follow-up actions.
- Review and categorize tasks and actions, according to process and procedure, for further assessment or resolution.
- Review and support the investigation of anomalies or exceptions.
- Manage escalations and hand-offs to other teams to ensure correct outcomes are achieved and appropriately documented.
- Manage cases from start to finish through various systems, including but not limited to, PowerBI and Dynamics.
- Ensure excellent records management and robust audit trail.
- Support the development of processes and seek systemization opportunities to improve efficiency across all key processes.
- Provide administration support across all processing teams.
- Support team managers in workflow management and reporting.
- Engage and work with Advisers/Firm throughout the process to provide excellent service.
- Demonstrate good customer outcomes.
- Contribute to building a great environment to work in.
- Support with ad-hoc tasks if appropriate and when required.
We are looking for a candidate with a broad understanding of the Financial Planning markets in terms of Advice, Providers/lenders, platforms, products.
A broad understanding of how Advisers and how AR (Appointed Representative) businesses operate.
Excellent organizational skills and the ability to manage a variety of tasks and responsibilities.
A confident approach, self-motivated with good interpersonal skills.
An excellent telephone manner and written communication.
A good working knowledge of Excel, Word, and PowerPoint.
Demonstrate a strong eye for detail while also displaying a willingness to solve problems and improve processes.
Ability to follow processes.
You'll embrace change and initiate new and better ways of working to deliver positive customer outcomes.
Working collaboratively with colleagues – both within the team and across the wider business – this individual will be focused on delivering an exceptional level of service.
Operate efficiently – treat the business as if it's your own.
Own decisions and tasks – decide and deliver.
Build on own knowledge by self-learning, share knowledge and best practice with colleagues.
Ability to manage workflows within defined timescales.
Core BenefitsHoliday: 26 days
Quilter Incentive Scheme: All employees are eligible to participate in our incentive scheme, based on the company's performance and their contribution to it
Pension Scheme: 10% non-contributory company pension scheme that can be boosted through personal contributions
Private Medical Insurance: Single cover as standard, cover can be increased at your own cost
Life Assurance: 4x your salary, cover can be increased at your own cost
Income Protection: 75% of salary payable after 26 weeks of absence
In addition to our core benefits we offer a range of flexible benefits that you can choose from and pay for conveniently via a salary deduction.
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