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Job description

    Company Info

    Working here is about being there for our customers; we're available should the worst happen and we work together to enable social and financial equality across the UK. But it's also about you -how you develop and what you can achieve. We'll help your talent thrive in an environment where you'll be supported to work flexibly and autonomously, sharing in our success and rewarded for a great performance with a generous benefits package.

    Department Info

    At Legal & General Retail Retirement we want to help people have a more colourful retirement. Under the umbrella of our trusted brand we want to explain to people how their property equity could help support them in their later years. We have set up Legal & General Financial Advice (LGFA) to give people greater access to good quality advice about lifetime mortgages.

    The Quality & Control Manager will take responsibility for the delivery of accurate and standard or Quality Assurance (QA) of first line activity and support the Head of First Line Oversight in the implementation and maintenance of the LGFA Risk Management Policy Framework and associated processes and controls. They will the design and deliver control activities required to evidence robust customer outcomes and adherence to internal standards across the advisory processes delivered by LGFA.

    We are an equal opportunities employer and welcome applications from all suitably qualified persons regardless of their race, sex, disability, religion/belief, sexual orientation, gender identity or age.

    Job Duties

    Principal accountabilities:

    Ensure that the business processes and operating procedures are implemented in accordance to regulatory standards, industry best practice and applicable L&G Group standards and take a lead role in delivering any improvement and changes required.

    Monitor LGFA's compliance with the relevant advice and associated policies designed to ensure that LGFA identifies and manages risks appropriately (including T&C arrangements, financial, vulnerable customers, advice standards)

    Agree and maintain an appropriate methodology for Quality Assurance and control activity to ensure adherence to all relevant policies and procedures.

    Deliver monitoring activity and oversee the delivery of monitoring activity by more junior colleagues to ensure advice output is consistent with LGFA advice best practice and compliant with all applicable regulation and industry best practice.

    Provide high quality verbal and written feedback to colleagues delivering advice on adherence to advice standards and customer outcomes.

    Act as a technical SME and point of contact to support the resolution of difficult or complex advice related issues. Work with the 2nd Line Risk Team and CRO to maintain good relationships with the regulator and evidence the delivery of robust customer outcomes within LGFA.

    Treating Customers Fairly (TCF) - Identify risks and issues to the fair treatment of customers on an individual case basis and systemic basis. Deliver detailed and effective RCA activity to support improvement of business processes and controls to ensure the ongoing compliance, customer focus and efficiency of advice processes.

    Deliver effective and high quality MI and reports to the Head of First Line and the LFGA Executive Team.

    Skills Required

    Wide experience of quality assurance and control activity methodologies designed to identify risks and evidence the delivery of strong customer outcomes.

    Wide experience interpreting and applying regulatory rules to data to assess complaint and fair outcomes, including cases where regulation is opaque and judgement is required.

    Demonstrable experience of driving improvement through feedback to senior stakeholders

    Experience of delivering trend analysis and process improvement activity.

    Experience of writing high quality reports to inform senior management o business compliance with internal standards and policy.

    Experience of designing, implementing and overseeing risk management policies and processes.

    Qualified to provide advice on Lifetime Mortgages by having the following qualifications or equivalent:- R01 Regulation & Ethics, CF6 Mortgage Advice, ER1 Equity Release. Full Diploma in financial planning or wider product specific advice qualifications is a distinct advantage.


    Whatever your role, we reward ability, performance and attitude with a package that looks after all the things that are important to you. Our employees have a wide range of benefits including a generous pension scheme, life assurance, 27 days' holiday,private medical insurance, performance related bonuses, a variety of share schemes, discounts at both a huge range of high street stores and our own great products, your hard work will be rewarded when you join us.

Learn more about Legal & General

Be unique. Be authentic. However you prefer to say it, we really mean it. Our culture embraces people’s diverse perspectives and creates a positive environment where everyone belongs. We’re determined to build a better, more connected world for everyone.

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