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Compliance Quality Broker Manager
Chippenham, Wiltshire
Salary: £30000.00 - £35000.00 per annum + plus £1000 bonus
Job Type: Permanent
Start Date:
Job Reference: BBBH24405
Added: 21 Jul 2021
Job Description
A rare opportunity to work for a market leading organisation in the heart of Chippenham as a Compliance Quality Manager.

Role Purpose

To manage the team and have full oversight of their assessment of the three Financial Services Networks This will include:

* New joiners to both networks
* Ongoing monitoring

Main Accountabilities

* Manage the Broker Services Monitoring Team on a daily basis ensuring clear guidance and instruction.
* Coordinate training and development of the team, providing clear definition of the role and responsibilities and guidance and support as necessary
* Complete quarterly 1:1's and annual appraisals with individual team members
* Complete investigations, PIP and Disciplinary meetings with team individuals (if required).
* Undertake regular Quality Checking on work completed by individual team members
* Maintain accurate systems and controls within the team and provide regular MI to the Head of Broker Services
* Consider workloads (both current and future estimations) against team resource. Providing a clear outline of resource requirements to the Head of Broker Services on a quarterly basis.
* Maintain and update team processes and procedures. Ensuring that these are version controlled
* Ensure appropriate prioritisation of queries and to ensure they are dealt with in a timely manner
* Keep abreast of internal or regulatory changes that could impact the team
* Uphold the network's Purpose and Values in all dealings with our internal and external customers and shareholders
* Ability to complete key work functions of the team as and when required
* Manage and distribute team workloads
* To maximise efficiency of processes and procedures within the Broker Services Monitoring Team
* To work closely with other internal teams (sales and supervision) to ensure appropriate processes are followed in regards the monitoring of the existing and new broker population.
* Support a culture of open and clear communication
* Any other duties as determined by the Head of Broker Services

Technical Skills / Competencies

* Intermediate IT skills - Microsoft office suite, outlook

Knowledge and Expertise (relating to specialist knowledge and expertise required to undertake the role):

* Working knowledge of Microsoft Word & Excel
* In depth knowledge of the FCA requirements appropriate to the team
* Credible team player with strong communication skills
* Strong prioritisation and delegation skills
* Attention to detail
* Ability to work under pressure and to tight deadlines
* Process driven
* Strong commercial and analytical skills

Experience, qualifications and other requirements specific to the role

Essential

* Operational management experience
* Resource planning
* GCSE Maths / English (grade C or above)
* Good written and oral communication
* Ability to take ownership for workload and work to set quality and timeframe standards
* Ability to work well within a team environment

Additional details of exceptional aspects of the demands of the role:

* Flexibility
* Passion for Customer Service


Acorn Recruitment acts as an employment agency for permanent recruitment.
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