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About the Role
This role is an exciting opportunity to play a key role in strengthening first-line risk oversight, governance, and customer outcome monitoring across the Advised Sales team. You will use insights from management information, quality assurance activity, and customer data to identify emerging risks, challenge existing practices, and support continuous improvement. You will collaborate with stakeholders to ensure the business operates within regulatory requirements while delivering fair and positive outcomes for customers.
Responsibilities
- Support effective first-line oversight across Advised Sales through independent review, challenge, and risk assessment.
- Maintain strong knowledge of regulatory requirements and embed appropriate standards across oversight activities.
- Review and challenge business processes, controls, and operating procedures to ensure alignment with regulatory and Group requirements.
- Provide governance oversight and support the identification, escalation, and resolution of risks and regulatory issues.
- Deliver independent assurance over adherence to advice policies, conduct standards, and financial crime controls.
- Collaborate with stakeholders to oversee the management of complaints, conduct risk events, and customer outcome issues.
- Challenge the effectiveness of Quality Assurance and Training & Competence frameworks as key risk and control mechanisms.
- Analyze customer outcomes, adviser activity, and business data to identify trends and drive continuous improvement.
Requirements
- Strong understanding of FCA advice requirements, complaints handling, and the wider regulatory environment.
- Knowledge of risk management frameworks and governance principles within financial services.
- Understanding of retirement and wealth products and the risks associated with them.
- Experience applying regulatory requirements in a practical business environment.
- Experience operating within risk management, oversight, or assurance frameworks.
- Strong communication and stakeholder management skills with the ability to influence and challenge constructively.
- Ability to identify issues, analyze information, and develop compliant, commercially sound solutions.
Skills
- Risk management
- Governance
- Customer outcome monitoring
- Regulatory compliance
- Stakeholder management
- Communication
Location
- Cardiff, Four Central Square
Work Type
- Permanent
- Regular
Experience Level
- Not specified
Education Level
- QCF Level 4 Diploma qualification
Benefits
- Annual, performance-related bonus plan
- Valuable share schemes
- Generous pension contribution
- Life assurance
- Healthcare Plan (permanent employees only)
- At least 25 days holiday, plus public holidays (26 days after 2 years’ service)
- Option to buy and sell holiday
- Competitive family leave
- Electric car scheme (permanent employees only)
- Discounts on own products and at high street stores and online
About the Company
- Legal & General (L&G) is a leading UK financial services group and major global investor.
- We’ve been safeguarding people’s financial futures since 1836, and strive to build a better society, while improving the lives of our customers and creating value for shareholders.
- We are one of the world’s largest asset managers and provide powerful asset origination capabilities.
- Our Retail business supports customers throughout their lives, to help them save, plan, protect and enjoy retirement.
- We’re a leading provider of retirement and protection solutions.
- We aim to support our c.12.8 million policyholders and workplace members throughout their lifelong financial journeys.
- We focus on helping the customers of today and tomorrow achieve better long-term outcomes.
- We use the latest technology to connect with them quickly, efficiently and wherever possible in highly personalised ways.
- We’re creating net‑zero carbon workplaces by 2030 by investing in our sustainable, modern offices across the UK, all designed to bring people together and elevate the in‑person experience.
- At L&G, we believe it's possible to generate positive returns today while helping to build a better future for all.
- If you join us, you’ll be part of a welcoming, inclusive culture, with opportunities to collaborate with people of diverse backgrounds, views, and experiences.
- Guided by leaders with integrity who care about your future and wellbeing.
- Empowered through initiatives which support people to develop their careers and excel.
- We care passionately about outcomes rather than attendance and are therefore open to discussing all kinds of flexible working options including part-time and job shares.
Equal Opportunity
- It doesn’t matter if you don’t meet every single criterion in this advert. Instead, think about what you excel at and what else you can bring in terms of strengths, potential and connection to our purpose.