Oversight and Controls Manager

Northreach are proud to have partnered with a leading life insurance agency in Reading, who are on the hunt for a Oversight and Controls Manager to support the Customer Services department with quality assurance, due diligence, complaints and breach management and MI.

• Ensure the organisations customer service plan for both Advisors and customers is delivered to a high quality, ensuring that it consistently leads the market
• Manage the specialist resources required for your position, ensuring necessary competencies are maintained to meet the business targets
• Work collaboratively with peer group to ensure Standard Operating Procedure documents are reviewed in align with review dates and are maintained where changed in line with regulatory changes or system enhancements
• Work collaboratively with peer group to ensure Standard Operating procedure documents are developed and agreed for new processes
• Collaborate with Front Office Manager to ensure resource planning is scheduled and adhered to
• Oversee root cause analysis and reporting of breaches and complaints to continuously drive down breaches/process errors by providing team with regular feedback, and implementing changes to improve quality and or address weaknesses as required
• Oversee the team’s due diligence submissions, ensuring any issues are escalated as required
• Oversight of complaints management, ensuring regulatory requirements are met
• Oversight of breach management ensuring breaches are settled efficiently and changes to process are documented as required
• Ensure MI requirements are delivered to operational areas
• Manage performance/attendance issues within team, aligned with HR
• Manage recruitment processes through selection, screening and onboarding aligned with HR
• Oversee individual PDP design, implementation and progress for all staff – reporting progress against all to Head of Customer Services
• Lead efficiency improvements to minimise the unit headcount/cost required to service new business, including internal initiatives through breach/complaint/QA root cause analysis supporting cross-company projects
• Oversee the overall development and performance of your team
• Deliver monthly reporting against own responsibilities to Head of Customer Services for inclusion Exco reporting
• Co-ordinate monthly reporting for Customer Services to the wider business/SFA within agreed deadlines
• Incorporating & ensuring adherence to the FCA’s “Treating Customers Fairly” consumer & conduct risk requirements

• Demonstrated experience in people management – able to train, develop, give feedback and create a positive and professional working culture
• Background in financial services (beneficial)
• Confident in stakeholder management – internal and external
• Strong conflict resolution skills – internal and external with strong relationship management abilities
• Budget management
• Confident communicator to all levels, including holding team meetings and presenting
• Strong time management and organisational skills
• Able to recognise and review business risk
• Visible sense of integrity