Advice Quality Manager

JOB DESCRIPTION

Roletitle: Advice Quality Manager

Reportsto:Head of Product

Location: Birmingham or Reading

Hoursofwork: 35 hours each week

SMCR Function: This is a certified role

Purpose of role

The purpose of this role is to ensure Ascot Lloyd Advisers are provided with sufficient and appropriate technical support through the management of the Advice Quality and Technical Support Team, including ownership of technical project work where required, and to own Ascot Lloyd's Training and Competency, and Business Quality Review, Frameworks.

The role will ensure that the Advice Quality and Technical Support Specialists support Ascot Lloyds Advisers, enabling them to provide high quality advice, ensuring the right outcomes for clients and that this is evidenced by quality file completion, demonstrating Ascot Lloyd's adherence with the FCA's T&C Requirements.

Key Responsibilities

• Manage Advice Quality & Technical Support Team, ensuring team member's allocation is aligned with Advice requirements and that key team KPIs are met.
• Ownership of Ascot Lloyd' Training & Competency Framework (working closely with HR and Compliance)
• Ownership of Ascot Lloyd's Business Quality Framework, working closely with the Advice Policy and Consumer Outcomes Manager to ensure alignment on Advice Policy and the delivery of good client outcomes

Key Team Deliverables:

• Provide oversight of advisers key performance indicators ("KPI") as defined in Ascot Lloyd Training and Competency Scheme and appropriate spans of control.

• Ongoing assessment of advisers' competency in areas of adviser licensing, annual risk assessments and fitness.
• Complete Business Quality Reviews in line with risk based approach of Ascot Lloyd's Business Quality Review Framework, identifying areas for development.
• To interact with internal stakeholders with respect to the delivery of advice quality, such as the commercial, product and risk and compliance teams.
• To help maintain and develop management information as part of the KPI oversight of advisers through the Training and Competency Scheme and Business Quality Review Framework.
• To maintain personal compliance of operational and regulatory risk
• To escalate areas of concern to the Senior Manager (Advice Quality & Technical Support) and identify trends and emerging risk to the business
• To assist the Compliance team with department projects and thematic reviews (include past business reviews) as required.
• Encourage good risk management processes.
• Fostering a risk-aware culture acts as a business enabler through which management feels empowered to take risks in a manner that is transparent and that is in line with the business and risk strategy.

• Sound knowledge of UK Financial Services Industry and retail products (including Corporate Business)
• Team management / Leadership experience in a financial services organisation, preferably Regulated Financial Advice.
• Excellent verbal and written communication skills
• Strong technical knowledge, directly or in an oversight role
• Qualified to Level 4 (at a minimum)
• Use of T&C Systems such as Star Compliance (desirable)
• Working knowledge of MS Office - including Excel, Work, Outlook and PowerPoint
• Proven experience of working with multiple systems and databases
• Experience of managing others successfully in a target driven, operational environment

SM&CR Responsibilities

As an FCA regulated Company, Ascot Lloyd are required to adhere to the Senior Managers and Certification Regime (SM&CR), to develop a culture where employees take personal responsibility for their own actions.

Individual Conduct Rules

1. You must act with integrity
2. You must act with due care, skill and diligence
3. You must be open and co-operative with the FCA, PRA and other regulators
4. You must pay due regard to the interests of customers and treat them fairly
5. You must observe proper standards of market conduct
6. You must act to deliver good outcomes for clients

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