Quality Assurance Specialist - Financial Planning

09 May 2017
07 Jun 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