Business Assessor

Business Assessor

Purpose of the role

To assess the suitability of advice of Appointed Representatives across COB business lines.

You will report directly to a team leader. There will be a process of structured 1:1s that will be held to discuss all areas of responsibility and personal performance.

Accountabilities of the role

The role holder is accountable for ensuring that their own checking is performed in accordance with the above policy in an accurate, effective and fair way. They also have a shared responsibility (through peer review) for ensuring that these standards are also applied by their colleagues in the team.
The role holder will ensure that they proactively identify trends and feed continuous improvement
Suggestions to their team leader, the AQT manager and the appropriate Subject Matter ExpertKey Activities

Objectives

Review the client files within the agreed criteria to the appropriate standards and in accordance with the current Insight checklists
Record the results of the assessment accurately and concisely
To achieve the agreed number of advice checks and peer review checks per day
To be a positive role model, committed to embedding the Outcome Based Principles
To provide courteous and consistent support to advisers and supervisors to improve quality.
Working effectively with the appropriate Operations, Distribution and Compliance teams to improve advice quality across the Network
Ensure SLAs are achieved
Escalation of Exceptions and Trends
Timely reporting of potential breaches and rejectsQualifications, Experience & Knowledge

The following qualification is essential:

DiplomaThe following qualification is desirable:

Chartered / CertifiedThe following experience is essential:

5 years in Financial Services in either a Business checking, T & C, Adviser, Para planner role.
Dealing with difficult customer situationsKnowledge of the following is essential:

COBS product and sales process
COBS, regulatory requirements
TCF
Data Protection
Anti Money LaunderingCompetencies, Skills & Behaviour

Strong attention to detail
Sound judgement and decision making skills
Good analytical and problem solving ability
Good listening skills
Strong influencing skills
Strong relationship and interpersonal skills
Clear written and spoken communication skills
Ability to remain calm under pressure
Ability to prioritise and organise
Client focused
Integrity
Professionalism
Resilience
Challenging
Supportiveness
Enthusiasm
Assertiveness
Diplomatic
Role model
Results orientation
Fairness
Approachability
Focus
Self-reliance
Team player