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Financial Services



Type of Position: Business Quality Controller
Pay: £30k-£40k

Business Quality Controller

Our client is looking for a talented individual to join them in their Bath office as a Business Quality Controller. In this role you will be responsible for reviewing an appropriate number of pre and post advice files in line with the firms’ training and competence scheme and provide constructive feedback to the advice teams.

This role is ideal for someone who has previously worked in a similar role and has experience working with Financial services. 

Key Responsibilities  

  • Review an appropriate number of pre- and post-advice files in line with the companies’ training and competence scheme and provide constructive feedback to the advice teams.
  • Follow up missing information and remedial action from advice teams within agreed timescales.
  • Identify key areas for development in the advice teams from file reviews and recommend training to address any knowledge and skills shortfalls to the T&C supervisors.
  • Assist with complaint investigations and liaise with the Financial Ombudsman Service as and when required.
  • Provide additional technical and regulatory support to advice teams where needed on the provision of advice.
  • Maintain awareness of Regulatory developments which may have an impact on the business, and file quality.
  • Administration & Reporting
  • Undertake any projects relating to the role or Risk and Compliance Team as necessary.
  • Comply with compliance procedures, TCF, Data Protection and FCA Regulations at all times to ensure regulatory requirements and company policies are not breached 

Knowledge, Skills & Competencies 

Work Experience: 

Time spent in similar role within Financial Services Industry 
Demonstrable knowledge and/or experience of file reviews and file review processes 
Extensive experience of working with Microsoft Office products including Word, Excel, Outlook and PowerPoint 
Experience of delivering accurate and relevant information in an appropriate and timely manner 

Experience of the Intelligent Office (IO) back office system 
Experience of cashflow modelling 

Skills & Qualifications: 

Good technical knowledge with minimum qualification of DipPFS or equivalent 
Good working knowledge of FCA Principles and conduct of business rules 
Good understanding of the Financial Planning process 
Strong interpersonal skills, both written and oral communication 
Excellent accuracy and attention to detail 

Working toward APFS or equivalent 
Good research and report writing skills 

If you are interested in this position, please email your CV to 

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