We are pleased to be recruiting on behalf of a leading financial services business seeking to further expand their compliance team with the appointment of a Head of Advice Quality reporting into the Compliance Director.

Candidates will be responsible for:

  • Managing a team of 10-12 Advice Quality Checkers ensuring that they adhere to T&C standards.
  • Ensuring the team identify areas of weakness and feedback to Advisors
  • Ensure quality assessment processes and procedures remain efficient and advice files are effectively reviewed.
  • Being an active member of the senior compliance team and assisting the Compliance Director as appropriate.
  • Report immediately any breaches of FCA rules to the Compliance Director

Our client is seeking an experienced financial services professional who is ideally educated to Diploma level with relevant qualifications in pension transfers. Ideally you will have experience of managing or supervising a team of file assessors and have experience in an Advice Quality role.

In return our client is offering a competitive basic salary and excellent benefits package as well as plenty of scope for development and progression within this expanding organisation. This role can be based from one of our clients offices or be purely home based, or a hybrid based role.

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