|
Location: Bristol
Salary: £65-95000 incl bonus/benefits
Job Overview:
This is a pivotal role. Operating as a key member of the regulated advice management team , with focus on the provision of 'at retirement' advice delivered through a blend of phone based and other methodologies including web based and face to face. It represents a wonderful opportunity with a blue chip provider that is uniquely well placed to have a really positive impact on the advice market post April 2015.
On top of your regulatory knowledge, you will also need to be a good leader, effective at one to one development, with a developed and mature communication style that enables you to create buy in from team members, 3rd parties, and senior management.
Key Responsibilities
Design, implement and maintain the Advice Standards for the Advice Function, in line with FCA rules and with particular regards to Regulatory/Legislative changes.
Create and implement robust operational plans
Build, implement and maintain a Governance/ Risk assessment framework and reporting process across the advice front and back office, to ensure appropriate Customer Outcomes and TCF principles are met. This would include MI reporting required for a regulated functional area.
Establish and deliver effective Quality Assurance across the Advice and supporting functions
Work closely with the Compliance function to provide appropriate insight into Advice related matters. (Attend FCA Forums as part of this accountability).
Relationship management of the Quality Assurance Partner, until such time as fully in house proposition is in place, ensuring adherence to QualityAssurance Standards and contractual SLAs.
Recruit, develop and manage the Quality Standards team to maximise effective delivery of Advice and Quality Assurance Standards.
Design, embed and develop the Advice Training & Competency scheme and framework ensuring that all colleagues have robust Personal Development plans to support their personal development, career progression and meet regulatory requirements.
Embed Advice Training & Competency Scheme through direct or 3rd party resource including maintaining training tracks.
Engage with Product/Proposition to ensure consistency with Advice Standards
Effective management of the budget in line with the business unit goals
Compliance and regulatory reporting with regard to direct client business, including breach process
Profile
Degree educated or equivalent or holder of relevant professional qualifications
Strong retirement market and industry knowledge
Good understanding of the regulatory framework in which the company operates, and the regulatory requirements and expectations relevant to the advice function
People manager with strong experience in Regulatory environment.
A track record of delivery against Regulatory requirements.
Proven track record of successful management roles and governance oversight in financial services
Previous experience in a role dealing with Regulation
Strong verbal and written communication skills
Strong people management skills
Presence and credibility at a senior management level in the organisation
Strong internal and external relationship management and networking skills
Strong presentation skills with the ability to communicate technical issues to all levels
Strong analytical skills to enable interpretation of regulatory information, identify key issues and put in place appropriate controls and measures
Ability to identify, assess, monitor, control and mitigate risks to the company.
Awareness and understanding of the wider business, economic and market environment in which the company operates
|
