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Advice Quality Consultant - 01569


Scotland: Stirlingshire
Banking Insurance Finance
Working Pattern:
Full time
Date Posted:
Thursday, 30th August 2012
Flexibility Offered:
Job Ref:
Prudential - Advice+Quality+Consultant+-+01569

Dependent On Experience


In the past our direct sales force built a reputation for personal service and trusted advice that customers still talk about to this day.

However, the Man from the Pru belonged to a different era. Today, we are developing a new approach to advice. It's called Prudential Financial Planning and it's designed for a very different world.

We have taken this step in response to a growing demand from our many loyal customers for us to provide them with expert advice. And to support our growing advice team we are looking for an experienced Advice Quality Consultant. You’ll join a team of experienced professionals with strong values and a true sense of purpose.

If you have the qualities below and are excited by the opportunity then we’d love to hear from you.

As an Advice Quality Consultant, you will provide quality and business assurance for sales made by advisers within Prudential Financial Planning (PFP) to ensure that sales have been completed within the approved advice guidelines.

Key Results Areas

  • Provide quality assurance by means of system and controls auditing
  • Identify customer experience and fairness improvements that could be implemented into the advice proposition
  • Audit, analyse reports, identify trends and provide feedback on advice quality to the Financial Advisers and Area Sales Director and other stakeholders
  • Evaluate all aspects of the sales process being assessed including breach and appeal reviews
  • Ensure appropriate root cause analysis/trending is undertaken in respect of findings leading to clear recommendations for action on an individual/team/process etc.  and deliver consistent findings that prescribe appropriate, relevant and pragmatic recommendations
  • Assist in ensuring that any lessons learnt/best practice from business assurance are shared across Prudential Financial Planning using an appropriate medium
  • Proactively participate to consistency auditing and  meetings
  • Provide appropriate and timely feedback to stakeholders on audit activity providing recommendations based on root cause analysis
  • To provide appropriate timely management information to stakeholders to support sales teams with Training & Competence responsibilities, performance management, Treating Customers Fairly reporting, remuneration etc
  • Assist in developing, implementing and delivering an effective risk based assurance programme (quarterly audit plan) that fits in with the overall strategy of Prudential Financial Planning
  • Deliver consistent findings  and relevant and pragmatic recommendations
  • To produce, challenge and agree improvements to customer experience
  • Act as a buddy in supporting new Advice Quality Consultants
  • Provide technical support and training assistance on the roll out of compliance / quality based material 


Key Performance Indicators

  • Sales optimisation
  • Quality, timeliness and practicality of advice
  • Achievement of quarterly audit plan
  • Increasing levels of: Operational efficiency. Expertise and capability.
  • Consistency and effectiveness of quality management practices
  • Adherence to Prudential's Code of Conduct and, compliance with all relevant regulatory policies

To demonstrate a positive risk, compliance and control culture through the identification, assessment, monitoring and management of risks and issues within the business area, alongside ensuring timely and appropriate resolution of control weaknesses, actions and failures that arise.

Knowledge, Skills & Experience


  • QCA level 4/ Diploma (desirable). Fully FPC qualified (or equivalent (essential)
  • Regulatory experience in a similar role, covering the full range of complex financial planning (Pensions, Annuities, IHT, etc)

Comprehensive knowledge of:

  • Prudential products, sales guidelines & FS industry
  • Regulations and legislation affecting Prudential and their impact on the business


  • Highly self motivated and managed
  • Analytical thinking/decision making
  • Building relationships
  • Commercial awareness
  • Planning and organising
  • Judgement 
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