Quality Assurance Specialist - Financial Planning

London, South East England
17 Jul 2017
16 Aug 2017
Contract Type
Full Time

Our Client

Our client is one of the UK’s leading providers of investment management services - due to continued growth within their Financial Planning arm, they are looking to create a brand new role for a Quality Assurance specialist.

The Role

Reporting into the T&C Manager, you will be responsible for:

  • 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

Key Requirements

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