Quality Assurance Specialist
One of the UK most prestigious Investment Management organisations are currently seeking to hire a Quality Assurance Specialist to provide further support to their growing Financial Planning function.
The role will include the following duties:
- Acting as first line of defence conducting file checks to ensure advice is given according to the firm’s policies.
- Consistently reviewing the methodology for checking and reporting findings to advisers, their managers and the senior management team which includes clear data to allow KPIs to be monitored.
- Providing input to training events to improve knowledge and drive up advice standards.
- Working with the Financial Planning Manager and Paraplanner Manager to raise issues affecting quality, commerciality or timescales for advice.
- Working with T&C team to ensure timely acquisition of competent status for new advisers.
- Working with the compliance team who provide 2nd line of defence checks to ensure any audit findings are communicated within the team
The ideal candidate will have:
- Experience of working in a T&C or Compliance function within a Financial Planning business
- Level 6, Chartered Financial Planner qualification (preferred but will consider Level 4)
- Analytical and logical approach to work
- Able to understand complex planning advice
- Strong team work ethic and influencing
- Excellent communicator, including high literacy, numerical and verbal skills
- Able to adopt a pragmatic approach to case checking
- Good analytical skills, capable of thinking logically and using initiative
This is a first class opportunity to work for a genuine market leading whop can offer a highly competitive salary, a benefits package second to none along with genuine career development opportunities.