Regulatory Compliance Assistant
4 days ago
About the Role
This role provides an opportunity to gain experience and develop your skills in a dynamic environment.
Responsibilities:
- To ensure advisers adhere to QFP processes related to ongoing servicing and escalate any issues that are identified appropriately.
- Monitoring daily servicing alerts, ensuring activity is logged and appropriate communications are issued in a timely manner.
- Managing adviser responses to alerts and facilitating follow-up actions.
- Reviewing and categorizing tasks and actions according to process and procedure for further assessment or resolution.
- Reviewing and supporting the investigation of anomalies or exceptions.
- Managing escalations and hand-offs to other teams to ensure correct outcomes are achieved and appropriately documented.
- Managing cases from start to finish through various systems, including PowerBI and Dynamics.
- Ensuring excellent records management and robust audit trail.
- Supporting the development of processes and seeking systemization opportunities to improve efficiency across all key processes.
- Providing administration support across all processing teams.
- Supporting team managers in workflow management and reporting.
- Engaging and working with Advisers/Firms throughout the process to provide excellent service.
- Demonstrating good customer outcomes.
- Contributing to building a great environment to work in.
Requirements:
- Broad understanding of the Financial Planning markets in terms of Advice, Providers/Lenders, platforms, products.
- A broad understanding of how Advisers and AR businesses operate.
- Excellent organizational skills and the ability to manage a variety of tasks and responsibilities.
- Confident approach, self-motivated with good interpersonal skills.
- Excellent telephone manner and written communication.
- Good working knowledge of Excel, Word, and PowerPoint.
- Demonstrating a strong eye for detail while also displaying a willingness to solve problems and improve processes.
- Ability to follow processes.
- Embracing change and initiating new and better ways of working to deliver positive customer outcomes.
Why Join Us?:
- Holiday: 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.
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