Sales Quality Review Specials (pre and post sales)
One full time role and two Fix term contracts
Reporting to the head of conduct, there are three new exciting positions with in the compliance department, to provide key support in relation to the effective delivery of a new modern sales compliance quality framework, within a leading Life company. This role will involve working closely cross multiple distribution partners and sales teams both (Post and Pre sales), to deliver key sales quality objectives and regulatory requirements.
- To perform sales quality reviews of sales by advisors/agents as agreed with our multiple distribution partners
- To provide our key distribution partners with timely information on sales quality that allows them to effectively manage their compliance and regulatory obligations
- To provide compliance support/training to distribution stakeholders on sales related matters
- Deliver the communication plan to distribution teams
- Tackle all issues identified from a sales quality review through to resolution
- Identification and management of material compliance or regulatory matters involving our distribution stakeholders
- Perform sales quality thematic reviews on behalf of multiple distribution channels as required
- Ongoing management of queries from distribution stakeholders relating to sales quality matters
- Participation in project groups to develop sales practices, processes and systems
- These are CF3 & CF4 level roles,
- A QFA qualified(Minimum) with a ACOI qualification preferred (Or in progress)
- 5+ years’ experience in financial services (Life assurance preferable)
- Minimum of 2 years’ experience in relevant compliance and/or quality assurance role
- Strong understanding of Consumer Protection Code 2012, in particular the obligations relating to ‘Knowing the consumer’ and ‘Suitability’
- Familiarity with other related regulations such as AML, Data Protection, PRIIPS, Insurance Mediation Directive etc.
- Highly-organised and self-motivated individual with ability to prioritise effectively and work independently
- Excellent written and verbal communication skills, with strong analytical and report-writing skills to all levels within the Company
- Knowledge of financial planning sales processes and customer propositions in either the Post or pre Sales channels
Working closely across the group and reporting directly to the Head of Conduct, this is an ideal opportunity for a Sales Quality professional currently in a similar positon or looking to move in to a more permeant quality or regulatory function with in the life industry. The successful candidate will have a great opportunity to test them self’s in a new role and will have the possibility of fast progression thru the wider group.
For a private and confidential conversation and for a full job description
please contact Ciaran on 01-8746770.
Or email email@example.com