Remote Competency Assessor
Q
QuilterWealth Management
United KingdomFull-TimeMiddle
Salary not disclosed
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Job Details
- Required Skills
- Microsoft OfficeCompliance
Requirements
- Level 4 Diploma qualified (minimum).
- Proven experience working within the financial services sector.
- Experience within a T&C (Training and Competence) supervisory function (highly desirable).
- Computer literate with proficiency in Microsoft Office.
- Ability to follow and enforce compliance rules.
- Strong communication skills, specifically questioning skills.
- Demonstrated sound judgment when assessing risks and developing action plans.
- Experience of Network/National and IFA/restricted advice models (desirable).
- Ability to work independently and on own initiative.
Responsibilities
- Complete competency assessment meetings remotely with advisers.
- Educate Appointed Representatives and Registered Individuals on compliance requirements, Treating Customers Fairly (TCF), and Good Customer Outcomes.
- Deliver the risk assessment regime and assess necessary skills, competencies, and knowledge.
- Conduct Adviser Reviews including reporting, coaching, feedback, and risk escalation to the Firm Compliance Partner.
- Provide regular feedback to senior management regarding identified issues.
- Conduct customer care calls to substantiate findings or support competency sign-off.
- Manage identified issues to conclusion using enhanced monitoring and governance action plans.
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