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Business Quality Assessor

Salary: DOE

Location: Newcastle / Harrogate

Reporting to: Compliance Officer

Primary Objective
Conducting advice suitability assessments (pre-submission checks and post report production checks), you will ensure the quality of advice and documentation is of a high standard within agreed timescales set by the company and provide technical advice/ guidance to the advisors and other members of the paraplanning team.

Assess the suitability of the advice, checking that adequate ‘know your client’ information is recorded and ensuring that the presentation of any reports and suitability letters meet company standards, ensuring that the client’s objectives have been identified and met.
Ensure that any file check remedial work is completed by the consultant and team in a timely manner and that it is recorded.
Develop internal relationships and discuss best practice, concerns and learning points.
Identify areas for improvement and assist with project managing these through to completion.
The provision and maintenance of internal MI and other compliance documentation records and KPI’s.

Treating Customers Fairly:
All employees are required to engage with the company’s “Treating Customers Fairly” policy and will be appraised of their understanding of the culture on a regular basis.

Report any potential breaches, including weaknesses in current systems to our Compliance Officer/Managing Director.

Ensure personal data (client and employee) is securely held and properly utilised in accordance with the General Data Protection Regulations.

Key performance indicators:
Ensure personal Key Performance Indicators are achieved and are attained compliantly with regards to FCA Regulation and company standards. Key Performance Indicators will be provided under separate cover.

To undertake all other duties as reasonably required and directed.

This Job description may be reviewed and subsequently amended to better reflect any changes in the role.

Person Specification
Education, Qualifications & Training
Diploma in Financial Services to Level 4 (or equivalent)

Chartered including CII AF3 or AF7

Knowledge & Experience
A good technical knowledge across all means of financial planning
Excellent knowledge of UK regulatory framework
Current experience of working within a financial services compliance file checking role, or demonstrable expertise in this area.

IT Skills
Fully competent in desktop applications (proficient in Microsoft Word, Excel and Outlook)

Personal Skills
Excellent standard of written and verbal communication
Strong communicator with confidence to approach advisor when their work does not meet compliance and regulatory standards and argue your case.
You will be driven and self-motivated to achieve high standards.
Methodical approach
Able to interpret data and to analyse where existing procedures and practices do not meet the current regulatory standards
Team player – Able to effectively work and complete work in group settings. Works cooperatively with others to achieve common goals.  Treats others with dignity and respect and maintains a friendly contribution of others.

To apply, please send your CV to Jo Nickell-Lean, HR Manager: jo.nickell-lean@ellisbatesgroup.com in addition to a cover letter that details your suitability for this role.