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Quality Assurance Supervisor, Wealth Managment


Quality Assurance Supervisor, Wealth Managment


A true leader and innovator within wealth management is looking to add to their growing Advice and Sales Monitoring Unit (ASMU) by bringing in an additional Quality Assurance Supervisor.

Reporting to the Section Leader in ASMU you will be providing support in the monitoring and assessment of the quality of the personal recommendations being provided to consumers by advisers of the company.

Main duties for this role are:

* To conduct a detailed assessment of the advice and services being provided to consumer and determine the suitability or otherwise of the personal recommendation.
* To identify any Breach or Misconduct by individuals and report any individual training need to the ASMU Section Leader.
* Undertake thematic work on past sales as determined by the Section Leader.
* To provide feedback and prepare action plans for individuals following any advice quality reviews.

To be considered for this role it is essential you have the following:

* Chartered Insurance Institute (CII) Certificate in Financial Planning or Equivalent
* Experience of regulated financial advice of at least 12 months is essential.
* Working knowledge of COBS/ICOB/MCOB disclosure and suitability rules.
* Awareness of the rules and regulations relating to Financial Crime Prevention

Please quote <45885> when calling Stephen at Alexander Lloyd or email them at 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, MLRO etc. across the entire financial services sector; including investments, wealth/asset management, insurance and FX. We offer resourcing solutions - both in executive search and contingent recruitment - across the whole of the UK.

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 for any other roles which may be of interest.

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