Job Description
My client is an expert Financial Planning firm, specialising in Pensions, Investments, Mortgages, Life, Health and Critical Illness Insurances, dealing with both Individuals and Corporate clients throughout the UK.
We are seeking a Business / Quality Assessor who will work to ensure that all Financial Advice cases are checked for Compliance against current requirements, providing as much safeguarded against Unsuitable Advice as possible.
Specifically you'll be responsible for:
* Assessing suitability of Financial Advice, checking that "Know Your Client" information is updated and correct, checking the presentation of all Reports and Suitability letter meet the company standards and client needs have been identified and met suitably.
* Follow the process for File Checks, remedial file checks and record keeping.
* Providing clear feedback to both Paraplanners and Financial Advisers when Advice may be deemed unsuitable.
* Work with Paraplanners to achieve the required KPI's with an aim of getting the Reports completed in the first instances
* Providing support and training of the Paraplannrs and File Checkers with the aim of improving the Reporting standards of the firm
* Identify areas which require procedural changes
* Contribute to team meetings and internal discussions
The successful candidate for the role will have a number of years experience working within Financial Advice with clear experience in File Checking, Quality Assessment, whether that be from a File Checking capacity or other (Financial Adviser / Paraplanner / Compliance). You will be Level 4 Diploma qualified, the desire to become Chartered would be an advantage to you, as well as AF3 or AF7 qualifications.
A great salary is offered with a strong benefits and bonus structure in place.