Quality Assurance Consultant
9th November 2023
Purpose of the Role
Here at Sesame Bankhall Group (SBG), we aim to be the market leader in providing professional support services to financial advice firms in the UK.
We are currently looking for a Quality Assurance Consultant to support our Compliance team based in Sale. This is an exciting opportunity to share learning from quality assurance assessments to help drive high quality standards across the business.
You will undertake quality assurance assessments of first line checks performed by SBG, in accordance with internal procedures and controls whilst producing MI to enable SBG to monitor the quality of compliance review services that it offers.
This role offers you the opportunity to:
- Undertake internal quality checking reviews in accordance with relevant departmental procedures and compile accurate and appropriate feedback at both individual and departmental levels.
- Maintain accurate quality assurance records to facilitate the production of accurate management information in a timely manner.
- Undertake activity to support the completion of thematic reviews.
- Identify potential training needs relevant to the departments subject to quality assurance checks, to assist with training/development planning.
- Assist in the development of internal and external best practice guides, processes, documentation and communications, using themes and key findings from quality assurance assessments.
- To undertake ad hoc projects and duties as and when required, to support the needs of the business or to achieve departmental objectives.
If you possess the following, get in touch:
- Good background knowledge of FCA Conduct of Business, advice process requirements and TCF principles.
- Good knowledge of financial services markets, compliance processes and structures.
- Sound technical knowledge.
- Certificate in Mortgage Advice and Practice (or equivalent)
- Diploma in Financial Planning (or equivalent)
- Excellent standard of written and verbal communication.
- Good decision-making skills, partnered with the ability to work as part of a team and individually.
- Analytical mind and excellent attention to detail.
- Excellent time management skills with an ability to work to deadlines.
- Ability to coach and provide feedback.
Critical behaviours required
Competency | Level |
| Interacting & Engaging | B |
| Technical Competence | B |
| Organising & Executing | B |
| Managing & Developing Self & Others | B |
| Service Delivery Excellence | B |
| Entrepreneurial & Commercial Thinking | B |
| Embracing Change | B |
| Leadership | B |
| Collaborative Working | B |
Personal profile
Qualifications required
Essential
- Certificate in Mortgage Advice and Practice (or equivalent)
- Diploma in Financial Planning (or equivalent)
- Lifetime Mortgage / Equity release qualification
Desirable
- G60/AF3 or equivalent
- AF7 or equivalent
Experience required
Essential
- Recent experience in a role involving file checking.
Our Expectations
Our Approach to Risk Management
- You will require an awareness of operational and regulatory risk, which may impact on SBG. You will be responsible for reporting to their line manager any risk which may impact on the business.
Three Lines of Defence Risk Management Model
- You will be required to deliver your role competently and comply with the relevant standards and procedures, ensuring that SBG deliver a service where suitable advice is given to the end consumer, which is adequately recorded and ultimately promotes good customer outcomes. This can either be through direct influence or in a support services capacity.
The Consumer Duty Principle
- You will be required to ensure that the Consumer Duty principle is embedded into the team’s culture, departmental procedures and practices and that management controls and MI are in place to monitor performance against the Consumer Duty principle, where these are required by the business.
Information Security
- You are required to promote information security in your department, encouraging best practice by ensuring your staff comply with the information security principles, policies and procedures. You will need to monitor workplace practice in line with these policies and procedures and deal firmly with any instances of non-compliance.
SBG’s 6 Star Service Delivery
- You will need to achieve 6-star service delivery through embedding the 6-star service objectives into to the team culture. You will be required to encourage and exhibit the behaviours that fit within the SBG service charters, leading the team to ensure a clear vision of what 6-star service means for the team, ensuring that service is at the forefront of decision-making processes.
At Sesame Bankhall Group we believe that diverse teams really are the best teams, we are committed to providing an inclusive recruitment experience to our candidates. Research tells us that candidates may be put off applying for a job unless they can tick every box. We also know that ‘normal’ office hours aren’t always doable, and while we can’t accommodate every flexible working request, we are happy to be asked. So, if you are excited about working with us and think you can do much of what we are looking for but aren’t sure if you are 100% there yet… why not give it a go? If you are neurodiverse or require any adjustments to be made or as a result of a disability, impairment or health condition, please do not hesitate to let us know.
If you think that you are suitable for this role, please apply now!