Advice Quality Specialist

JOB DESCRIPTION

Role title: Advice Quality Specialist

Reports to: Advice Quality Manager

Location: Hub location

Hours of work: 35 hours each week

SMCR Function: This is a Certified Role

Purpose of role:

The purpose of this role is to provide technical support to Advisers, undertake technical project work where required, and to manage and assess Advisers’ KPIs under Ascot Lloyd’s Training and Competency Scheme and Business Quality Review Framework.

The role will ensure that Ascot Lloyd’s Advisers are supported in line with the FCA’s T&C Requirements, enabling them to provide high-quality advice, ensuring the right outcomes for clients, and evidenced by quality file completion.

Key Responsibilities:

1. Provide technical support to the IFA team
2. Provide oversight of advisers\’ KPIs as defined in the Training and Competency Scheme and appropriate spans of control
3. Ongoing assessment of advisers’ competency in licensing, risk assessments, and fitness
4. Complete Business Quality Reviews in line with the risk-based approach of the Business Quality Review Framework, identifying areas for development
5. Interact with internal stakeholders regarding advice quality, such as commercial, product, and compliance teams
6. Maintain and develop management information related to adviser KPIs through the Training and Competency Scheme and Business Quality Review Framework
7. Maintain personal compliance with operational and regulatory risks
8. Escalate concerns to the Senior Manager and identify trends and emerging risks
9. Assist the Compliance team with projects and thematic reviews
10. Encourage good risk management processes
11. Foster a risk-aware culture that enables transparent risk-taking aligned with business and risk strategies

SM&CR Responsibilities:

As an FCA regulated company, Ascot Lloyd adheres to the SM&CR, promoting a culture of personal responsibility among employees.

Individual Conduct Rules:

1. You must act with integrity
2. You must act with due care, skill, and diligence
3. You must be open and cooperative with regulators
4. You must consider customer interests and treat them fairly
5. You must observe proper standards of market conduct
6. You must act to deliver good outcomes for clients

Experience / Skills Required:

• Sound knowledge of UK Financial Services Industry and retail products (including Corporate Business)
• Strong technical knowledge
• Experience with an IFA firm in customer service or operational roles is essential
• Qualified to Level 4 or higher
• Experience with T&C Systems such as Star Compliance (desirable)
• Proficiency in MS Office (Excel, Word, Outlook, PowerPoint)
• Experience working with multiple systems and databases
• Experience in a target-driven, operational environment

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