Quality Assessor - KYC & Suitability, Temporary Contract (4 months)

Brown Shipley, Manchester, GBR, M3 3HF
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Purpose of the Job

Brown Shipley are seeking a Quality Assessor to provide quality assurance oversight of periodic advice reviews completed by Front Office. This is a home based, fixed term contract for up to four months.

• Review and check that completed client profiles meet the required standards
• Review and check that systems (where appropriate) have been updated to the required standards.
• Provide constructive feedback to front office advisers
• Review any remedial work completed by advisers as a result of your review.
• Ensure that the marking feedback is consistent in nature with other QA assessors.

Key Accountabilities

Identification, Management and Monitoring
· Learn and understand the standards required by the business for the project.
· Review allocated cases in line with the standards required and complete an assessment form for each case reviewed, highlighting any remedial work where required.
· Issue review completed review forms to front office advisers via email.
· Update the review tracker spreadsheet after each case has been reviewed.
· Liaise with advisers and their T&C supervisors where necessary to discuss remedial work if needed.
· Attend weekly/ bi-weekly telephone/ MS Teams calls with the QA manager to discuss areas of concern, consistency etc…
· Provide a professional service and act in a professional manner.
· By proactive in asking questions where there is uncertainty regarding standards
· Maintain the standards required by the business
· Be approachable in nature and not enter conflicts with front office colleagues
· Develop and maintain good working relationships with the other QA team members and front office staff.
· Escalate queries where appropriate to the line manager.
· Work with other QA Assessors to ensure that feedback is consistent across the team.

Reporting and Communications
· Complete case assessment forms to an excellent standard
· Consistently update the main tracker used for the project.
· Maintain effective email management, responding in a timely manner to queries.
· Reporting to the Manager, Business Assurance

Knowledge and Experience

Previous experience working in a financial services business, ideally wealth management/ private banking
Understanding of advice processes and suitability requirements.

Attributes and Qualities

Can work to tight deadlines
Ability to communicate effectively
Confident decision maker who can engage proactively in debate/ challenge
Ability to keep a cool head whilst working under pressure
Work together, engage with various stakeholders to work with a common purpose

Technical Skills

Ability to learn new systems & procedures quickly
MS Word/ Excel/ Outlook
 

Languages Skills

Fluent in English (written and verbal); French/ Dutch desirable
 

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