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- Tasks: Ensure quality assurance in financial planning and support key monitoring projects.
- Company: Award-winning financial planning and investment company with a strong reputation.
- Benefits: Competitive salary, hybrid work model, and opportunities for professional growth.
- Why this job: Join a dynamic team and make a real impact on financial services quality.
- Qualifications: Experience in FCA regulations and strong technical knowledge in financial services.
- Other info: Collaborate with senior leaders and develop your skills in a supportive environment.
The predicted salary is between 40000 - 55000 £ per year.
This is an award winning financial planning and investment company that specialises in providing a wide range of services to private clients, corporations, HNW individuals and financial services professionals across the UK. This company has an exciting opportunity to work alongside the Managing Director and wider SLT panel. This role will be a vital part of the financial planning process supporting across multiple functions/stakeholders, ensuring operations are carried out correctly.
Role Responsibilities:
- Responsible for 1st line quality assurance monitoring across Wealth Planning.
- Ensuring all relevant 1st line checks are being completed by the relevant Managers to a consistent frequency and standard.
- Ensuring escalations are managed in line with business requirements.
- Responsible for some 1st line monitoring activities, e.g. vulnerable client processes.
- Supporting the business with key trends analysis.
- Working with the Head of Business Assurance to build effective MI.
- Involvement in key monitoring projects as and when required.
- Review effectiveness of controls and design enhancements, where possible.
Experience Requirements:
- Excellent knowledge and experience working within the FCA and to regulatory frameworks.
- Strong technical knowledge and skills relating to financial services industry.
- Comfortable providing constructive feedback.
- Able to support coaching, mentoring, and develop staff.
- Ability to work under pressure.
- Ability to work with senior stakeholders within the business.
Compliance/Advice Quality Manager (IFA) in Birmingham employer: Heat Recruitment
Contact Detail:
Heat Recruitment Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance/Advice Quality Manager (IFA) in Birmingham
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial services industry, especially those who might know about opportunities at companies like the one you're eyeing. A friendly chat can sometimes lead to a referral, which is gold dust in the job market.
✨Tip Number 2
Prepare for interviews by researching the company and its culture. Understand their values and how they align with your own. This way, when you get that interview call, you can show them you’re not just a fit for the role, but for the team too!
✨Tip Number 3
Practice your answers to common interview questions, especially those related to compliance and quality assurance. We all know the pressure can be high, so rehearsing will help you feel more confident and articulate when it counts.
✨Tip Number 4
Don’t forget to follow up after your interview! A quick thank-you email can leave a lasting impression and shows your enthusiasm for the role. Plus, it keeps you on their radar as they make their decision.
We think you need these skills to ace Compliance/Advice Quality Manager (IFA) in Birmingham
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance/Advice Quality Manager role. Highlight your experience with FCA regulations and any relevant quality assurance monitoring you've done. We want to see how your skills match what we're looking for!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about financial services and how you can contribute to our team. Don't forget to mention your experience with coaching and mentoring, as that's key for us.
Showcase Your Analytical Skills: Since this role involves key trends analysis and MI building, make sure to highlight any relevant analytical skills or projects in your application. We love seeing how you’ve used data to drive improvements in past roles!
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows you’re keen on joining our awesome team!
How to prepare for a job interview at Heat Recruitment
✨Know Your Regulations
Make sure you brush up on your knowledge of FCA regulations and compliance frameworks. Being able to discuss these confidently will show that you’re not just familiar with the rules, but that you can apply them in real-world scenarios.
✨Showcase Your Analytical Skills
Prepare examples of how you've used data analysis to identify trends or improve processes in previous roles. This is crucial for the Compliance/Advice Quality Manager position, so be ready to discuss specific projects where your insights made a difference.
✨Practice Constructive Feedback
Since providing feedback is a key part of this role, think of instances where you’ve successfully coached or mentored someone. Be prepared to share how you approached these situations and the positive outcomes that resulted.
✨Engage with Senior Stakeholders
Demonstrate your ability to work with senior management by preparing questions that show your understanding of their challenges. This will not only highlight your interest in the role but also your readiness to contribute to high-level discussions.
