My Wealth Management client have just created a new position within their Compliance team for a Head of Quality Assurance for their London Office.
* To maintain the business's Training & Competence programme, including having oversight of the team leaders' supervision activities; presenting MI and recommended actions to monthly management meetings * To provide technical quality assurance of pensions planning. This will include reviewing files for quality and regulatory compliance; providing ad hoc technical support to colleagues as needed. * To occasionally go out in the field with financial planners as and when required.
* Level 4 Diploma in financial planning * Experience working in a T&C role
Please quote (43193) when calling Alexander Lloyd. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc across the entire financial services sector including investments, banking and insurance. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website www.alexanderlloyd.co.uk for any other roles which may be of interest.