You want to be at a growth firm where you are recognised for what you personally bring to the table. This is a great opportunity to work in a positive team that is welcomed by the business in helping us achieve client excellence (that's right we value the Quality team!)
About the role
Undertake file reviews to ensure the business is providing the highest standards of advice to our clients in line with internal policies and FCA requirements. You will add value in helping us live to our client centric values.
Working in a small team environment you are expected to make an impact and engage with stakeholders in the business and Compliance in supporting the development of advice quality.
Accountabilities
1. Provide quality assurance over the advice provided by the Financial Planners.
2. Conduct suitability assessments across a range of different product types (e.g. Pensions, Investments, High Risk products).
3. Review and grade the quality of client files across all product areas and provide concise feedback in a timely manner.
4. Support Financial Planners improving the quality of advice and providing assurance to the firm we are best in class.
5. Communicate and/or escalate remedial work to Planners and raise training needs to the T&C Team.
6. Prevent foreseeable harm to clients in line with the requirements of Consumer Duty.
7. Work with the Advice Quality team to driv...