Quality Support Manager
The Quality Support Manager is a key role within the Regulated Sales function, helping to ensure consistent delivery against client fiduciary expectations, whilst enabling well governed business growth. You will be responsible for setting the highest standards of compliance and control, and will ensure that a robust control framework is in place to achieve this and is enforced.
As a Quality Support Manager, you will be required to undertake business quality management checks for the various Investment Advisers that operate within the businesses, including Offshore Local markets, Intermediaries Family Office, International Banking. You will work closely with the Training Competency Manager to ensure quality objectives and a ‘best in class’ risk control framework are met and are in place. You will drive performance improvements across the full agenda of front office business quality related accountabilities and deliver consistency and execution of best practice standards across all core processes regarding client sale and suitability. You will support the execution of all Front Office Audit and Compliance Monitoring engagements, assisting the closing of all Front Office actions. Assisting with the training of all new regulated investment advisers during their initial induction will also be a part of this role. Providing support to the Regional Sales Managers with the ongoing training of the Investment Advisers through regular feedback sessions and sharing of best practices. You will be responsible for a large amount of file checking.
In terms of experience, you will have a solid understanding of the regulatory business and principles of risk management. Experience in other risk management and/or compliance roles is desirable. In addition, you will demonstrate awareness and adherence to all regulatory requirements, following best practice processes and procedures, displaying professionalism at all times.
You must have experience within the financial services industry and good product knowledge. It would also be an advantage to have qualifications in Financial Planning by achieving full CEFA, CFP or a recognised industry equivalent qualification.
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