At a Glance
- Tasks: Ensure high-quality standards in financial advice and support Financial Planners with compliance.
- Company: Join a growing team in a dynamic financial planning firm.
- Benefits: Competitive pension, 26 days holiday, private medical insurance, and flexible working.
- Other info: Engage in varied projects and enjoy an agile working environment.
- Why this job: Make a real impact on client-focused recommendations and enhance your career.
- Qualifications: Experience in compliance monitoring and strong understanding of UK financial regulations.
The predicted salary is between 40000 - 50000 £ per year.
Career
You want to join a growing and in-demand team. Playing a critical part in maintaining high-quality standards, mitigating risk, and supporting our Financial Planners in delivering compliant and client-focused recommendations. You will bring a methodical mindset, strong attention to detail, be ready to learn quickly and make an impact. Ready to engage with stakeholders in the business and Compliance, supporting the quality of advice provided to our clients.
Purpose
This role sits within Advice/ T&C and is responsible for checking client and case files to ensure they meet internal standards, regulatory requirements and firm policies. You will carry out sample checks, validate documentation, identify gaps or issues, and work with colleagues to ensure corrective actions are completed.
Accountabilities
- You will play a practical role in maintaining file quality and regulatory assurance.
- Typical responsibilities include planning and performing file checks, reporting findings, and helping drive timely remediation.
- Carry out regular sample checking of client files and case documentation against defined checklists and regulatory requirements.
- Conduct suitability assessments across a range of different products (Pensions, Investments, High Risk products).
- Identify documentation gaps, process deviations or compliance issues and record findings accurately.
- Produce clear, concise reports on findings, providing clear feedback to Financial Planners, and collaborating with the T&C team to highlight training needs.
- Involvement in ad-hoc project work or process improvements (we love people who bring ideas to the table).
Skills and Experience
- Previous experience as a File Checker or file reviewing / compliance monitoring role within a financial planning or wealth management firm.
- Strong understanding of UK financial planning regulations and FCA requirements.
- Knowledge across pensions, investments, and protection advice.
- Excellent attention to detail and analytical skills.
- Strong communication skills with the ability to provide clear and constructive feedback.
- Diploma qualified (or Chartered status would be advantageous).
- Hold a Pension Transfer Advice qualification or working towards Equity Release and Long Term Care exams are desirable.
Benefits
- Competitive Pension Scheme - we contribute 6%, you 3%.
- 26 days holiday plus bank holidays.
- Private Medical Insurance.
- Life Assurance (4x).
- Group Income Protection.
- Work From Anywhere policy.
Our agile working environment means you will engage in varied tasks and projects, keeping work interesting while you build technical skills and progress your career.
Copy of Financial Advice Quality Assessor - Financial Planning - London in Chester employer: Atomos Investments Limited
Join a dynamic and supportive team in London, where your role as a Financial Advice Quality Assessor will be pivotal in upholding high-quality standards and ensuring compliance within financial planning. With a strong focus on employee growth, our agile working environment offers opportunities for skill development and career progression, complemented by a competitive benefits package including a generous pension scheme, private medical insurance, and a flexible work-from-anywhere policy. We value innovation and encourage you to bring your ideas to the table, making this an excellent place for those seeking meaningful and rewarding employment.
Contact Details:
Atomos Investments Limited Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Copy of Financial Advice Quality Assessor - Financial Planning - London in Chester
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We think you need these skills to ace Copy of Financial Advice Quality Assessor - Financial Planning - London in Chester
Some tips for your application 🫡
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Include Relevant Financial Software Experience:If you've worked with financial modelling tools or software like Excel, SAP, or specific analytical tools during your studies or internships, bring that up! Highlighting your proficiency can really make your application pop and show you're ready to hit the ground running in a full-time role.
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How to prepare for a job interview at Atomos Investments Limited
✨Brush Up on Financial Analysis Skills
Make sure you're well-versed in financial concepts and analytical techniques relevant to banking and financial services. Get comfortable with tools like Excel for modelling or financial forecasting, as technical questions in this area are common during interviews with Atomos Investments Limited.
✨Prepare for Case Studies
Expect to tackle case studies that demonstrate your problem-solving skills in real-world banking scenarios. Familiarise yourself with the types of problems you might face—think risk assessments or investment evaluations—and be ready to articulate your thought process clearly.
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Since this is a full-time position, employers at Atomos Investments Limited will be keen to see your genuine interest in finance. Be prepared to discuss recent industry trends or news articles that excite you, showcasing your enthusiasm and engagement with the field.
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Before your interview, reach out to current or former Atomos Investments Limited employees on platforms like LinkedIn. They'll offer unique insights into the company's culture and the interview process, which can give us a delightful edge in showcasing a good fit for the team.
