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Quality Assurance Officer - Dean Clough Industrial Park, Yorkshire, United Kingdom, HX3 5


Quality Assurance Officier

Location: Halifax

Salary: £30,000 - £40,000

The opportunity for an experienced Quality Assurance Professional to join a national, well-established Financial Advisory firm in their Halifax office who focus on providing a high quality financial planning and investment management service.

The Opportunity:

The purpose of this role is to contribute to the work of the Compliance Department in delivering SGL's advice standards and ensure that FCA expectations are met across authorised subsidiary businesses. Work with Financial Planners, Paraplanners and colleagues within the Compliance function to ensure financial planners provide the highest possible standards of advice and service to clients, understand and meet their regulatory responsibilities and adhere to group policies and procedures. This role is central to the delivery of positive outcomes to clients.

What's needed to be considered?

  • Proven experience of performing a Business Quality role in a retail intermediary business
  • Excellent knowledge of the UK regulatory system, particularly those aspects relevant to advisory businesses, e.g. TCF, RDR and Mortgage Market Review
  • Good knowledge of platforms and products from a technical as well as regulatory perspective
  • QCF Level 4 qualification with desire/ambition to attain Chartered Financial Planner status or equivalent

What next?

Apply today to be considered for this opportunity. If suitable, one of our specialist consultants will be in contact to discuss the opportunity with you in detail prior to submitting your CV to the client. In this discussion we will aim to identify your specific skills and motivations, and where appropriate recommend other relevant opportunities to you that match your requirements.

Additionally, refer a friend or colleague to us and receive £200 when we assist them in securing a new career!

Synonyms: Compliance Manager, Quality Assurance, Compliance Adviser