Compliance & Quality Advisor
An excellent opportunity has arisen for a high calibre advisor within the quality and compliance area. You will be working for a market leading, chartered financial planning business where you will review advice on a broad range of high net worth cases.
Our client is looking for someone who has experience advising clients on compliance, risk, sales and quality. Or perhaps someone who is keen to move into this field from a paraplanning or advisory background. You will work with a team of dedicated financial planning consultants to peer review the advice given aswell as quality of documentation to ensure the best practice to our clients.
In this role you will be responsible for
- Providing high quality audit and assurance services, with particular regard to file sales service quality, evaluating the extent to which the firm is demonstrably meeting all the requirements of the various regulatory regimes under which it operates.
- Complete the peer review file assessment and post-sale file auditing
- Take ownership over suitability report templates
- Provide additional day to day support to the wider Compliance team and business including the resolution of E&O’s
- Promote good regulatory practices and controls
- Take on additional tasks and duties that support the wider business and compliance team, including project and analytical work
You will need to be QCF Level 4 certified (or equivalent) with proven financial planning knowledge and supporting qualifications where appropriate. You must have in depth knowledge of UK financial planning legislation and strong negotiation skills. Ideally you will have strong decision making skills, with the ability to influence peers and senior colleagues through strong communication and influential abilities.
If you feel you match this skill set then please do not hesitate to apply for this role.