Business Standards / Quality Assurance

5 days left

James Associates
02 Feb 2017
02 Mar 2017
Contract Type
Full Time

Ref 659

Quality Assurance / Business Standards

City To c. £60,000

This successful and expanding financial planning and investment management company is seeking a quality assurance professional to assist in the overall assessment of advice given and the general quality and standard of the client relationship within the financial planning team.

Responsibilities will be to perform detailed monitoring of investment management and financial planning records to ensure compliance:

Reviewing client files Identifying and analysing risk, share and support information

Act as a key contact within various business areas

Escalate trends or business risk to management where necessary

Assist in the development and implementation of best practice

Comply with the company's policies.

The successful candidate will have:

A relevant financial planning qualification - Diploma or Level 4 equivalent compliance or investment qualification

Analytical skills

Written and verbal presentation and communication skills.

Knowledge of pensions, tax efficient investments and trust work is required

The role would suit an experienced business reviewer / quality assurance professional, a paraplanner or financial adviser seeking fresh challenges and wishing to utilise their knowledge of the financial planning process and background.

There is excellent opportunity for career progression within this team, gaining exposure to the compliance side of the business in due course as the role develops.