Business Quality Assurance

We provide case-level assurance by reviewing a sample of your cases to ensure the advice provided by your sales team is suitable and in line with your risk appetite, policies and procedures.

We identify any advisor or systemic issues impacting the quality of advice being provided.

We determine whether features of products or services will expose the firm and / or its customers to risk, and help firms augment their processes, policies, procedures, governance and training to ensure issues will not crystallise in the customer base.

We can do this as a one-off exercise or on an ongoing quality assurance basis.

We ensure that your sales process does not result in excess risk by assessing its component parts, including: customer touchpoints and the information provided, disclosures and any conflicts of interest, sales incentives, training, recordkeeping and many other factors.

This is both in a regulatory and operational context, covering past, current and future business.

We use robust and focused outcomes testing to ensure a clear view of product performance, and, if issues with products have already arisen, root cause analysis to accurately pinpoint the areas requiring action, subsequently making recommendations for enhancements.