Advice Quality Assessor
Our client a major national IFA group are looking for an Advice Quality Assessor to work either from their office near Cheltenham or from Home. The core of the role is reviewing the quality of client files across the 4 main planning areas of mortgage, protection, investment and pension. Grading the quality of the file and providing effective and concise feedback in a timely manner is essential.
1. To undertake compliance audit work, including regular and ad hoc reviews of client files, suitability letters and investment reports.
2. To provide feedback and guidance to Wealth Planners, Paraplanners and Administrators regarding particular and/or general issues to ensure adherence to SWP standards and regulatory requirements.
3. To highlight trends and concerns and raise them to the Advice Quality Team Leader and Head of Advice.
4. To address and advise upon general compliance queries when they arise.
5. To liaise with compliance consultants where necessary.
6. To assist the Head of Advice and Advice Quality Team Leader in department projects. This will involve (in varying degrees) planning, overseeing, co-ordinating, executing, reporting on (verbal and written to a variety of stakeholders) and recording all outcomes of any such projects.
7. To provide MI regarding the compliance monitoring function.
Skills and Experience:
* Full financial diploma qualified (ideally Chartered Status or working towards)
* AF3 (or equivalent qualification) is essential.
* Compliance / file checking experience
* Up to date knowledge of relevant regulatory updates
* Good decision making skills
Search is an equal opportunities recruiter and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age.