Location: Field based role covering: North London/Watford/Hertfordshire
(CeMap qualifications required due to the industry and nature of work.)
Salary: £doe + Car allowance / Pool car + Benefits
The focus of the role will be to monitor ongoing performance of Advisers to ensure the continued demonstration of appropriate levels of knowledge, skills and expertise to fulfil the requirements of the role in line with policies and procedures.
This role will suit someone who is CeMap or MAQ qualified (or equivalent) and who is prepared to travel to help advisors with both quality audit checks and training. You will be involved in case checking so must come from either a banking or financial institution background.
The role is field based so you will drive and be prepared for early starts and late finishes when required with some overnight stays feasible.
The Business Assurance Manager will take responsibility for providing clients with reassurance that the quality of advice and documentation is of an exceptionally high quality, resulting in positive customer outcomes. This will be achieved by assisting the Appointed Representatives, offering relevant training, development and analysis of their overall business.
Key Responsibilities to include:
- Reviewing and monitoring ongoing performance of in accordance with the T & C scheme and Compliance policies
- Supervise advisers to maintain competency standards.
- Overseeing the ‘on boarding’ process from initial 1st line compliance checks to through to completion of relevant actions.
- Support and oversee the activity of new advisers to ensure quality benchmarks and competency status are achieved within prescribed timescales
- Conduct regular visits to advisers to carry out 1st line compliance checking and T&C related activity to maintain the required level of oversight and control
- Provide ongoing monitoring through support and guidance as required to enable them to build upon and enhance their overall performance, business quality, conduct and compliance culture
- Provide compliance advice and guidance and knowledge on regulatory issues in line with policies and procedures
- Investigate areas of underperformance, reporting findings, recommending remedial action, preparing action plans and tracking to positive conclusion
- Conduct gap analysis of knowledge, skills and capability, assisting by facilitating coaching and training as required in order to address any development opportunities and poor conduct issues
- Maintain central control records in a timely and accurate manner, reporting on supervision activity and issues, highlighting inferior quality trends and risks to Senior Management
- Proactively manage relationships with lenders & providers in relation to the quality of the advice provided within the span of control
- Promote, support & run roadshows, workshops, breakfast meetings and courses organised by the Network
- Carry out ad hoc tasks as may be delegated to you by your line manager as required by the business
Experience, Qualifications and skills required:
- Essential – CeMap or MAQ equivalent qualification
- Experience of working in the Financial Services sector with particular experience in compliance, development and T&C functions
- Good understanding of the FCA Mortgage and Insurance rules and regulations
- Practical knowledge of the mortgage and insurance markets
- Commercial awareness
- Excellent communication skills – both written and spoken
Please note that as part of this role, candidates will be expected to travel and may be required to have overnight stays from time to time, depending on work loads and locations of clients. A full drivers licence is required – a company pool car or car allowance would be part of the package, to cover travel costs.
For more information about this role or to apply please contact Joy Bruce or Helen Stacey at Aspire Jobs in Ringwood.