Junior Quality Assessor

Junior Quality Assessor

Leading Private Bank based in Birmingham looking to appoint 2 Quality Assessors to the team, to ensure the firm meets its quality objectives and operates a ‘best in class’ risk control framework Quality Assessors are required to check a sample of the Regulated Business. The Quality Assessors are required to give constructive feedback to firms Retail Investment Advisers on case quality issues, inform Training and Competence Supervisors of any relevant trends, maintain comprehensive evidence of the case checks and input accurate data for the relevant Management Information spreadsheets in a timely and accurate manner.

Duties / responsibilities

*Maintain a general understanding of the principles of the COBS rules and best practice for Investment Sales through both advised and non-advised processes.
*Using objective views and opinions and a Quality Support Team collective approach, Quality Assessors are required to determine suitability and grade the outcomes using the available sales documentation, supporting information and call records and in accordance with the standards laid down in the Suitability Manual and associated documents.
*The outcomes of the initial and final assessment are recorded in the relevant Management Information spreadsheet and feedback sheets and if required, relevant feedback or points of concern are communicated with the relevant Retail Investment Advisor.
*Where appropriate, Quality Assessors would try to resolve any outstanding issues or omissions directly with the Retail Investment Advisor to ensure that the rational and suitability is fully documented.
*Quality Assessors work closely with the Training and Competence Supervisors so that Retail Investment Advisers receive the appropriate level of support.
*Quality Assessors are also required to maintain comprehensive and accurate records for the checks carried out.

Key skills and competencies

Minimum Financial Planning Certificates 1, 2 and 3 or Equivalent, and ideally the Qualifications and Credit Framework (QCF) Level 4 Diploma.

In-depth knowledge, understanding and experience of:

oFinancial Services industry
oInvestment management strategies and markets
oSuitability checking for regulated products
oQuality Control
oExcel spreadsheet and Word document completion
oEffective feedback
oReport writing

Please visit for further opportunities.

Foot Note:

If your application is successful we will contact you to discuss the opportunity in more detail within 2 working days of receiving your application. If your application is unsuccessful, the information supplied may still be retained for use in connection with future vacancies.

Due to the overwhelming application response we receive through various sources, should you not hear from us within one week then please assume your application has been unsuccessful.