Business Standards / Quality Assurance
5 days left
- Full Time
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
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.