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- Tasks: Ensure high-quality financial advice by checking client files and compliance standards.
- Company: Join a growing team in a dynamic financial planning firm.
- Benefits: Enjoy private medical insurance, life assurance, and a flexible work-from-anywhere policy.
- Why this job: Make a real impact on client outcomes while developing your skills in finance.
- Qualifications: Experience in file checking or compliance within financial planning is essential.
- Other info: Engage in exciting projects and enjoy excellent career progression opportunities.
The predicted salary is between 35000 - 45000 £ per year.
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.
- Carrying out regular sample checking of client files and case documentation against defined checklists and regulatory requirements.
- Conducting suitability assessments across a range of different products (Pensions, Investments, High Risk products).
- Identifying documentation gaps, process deviations or compliance issues and recording findings accurately.
- Producing 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.
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 be working towards. Equity Release and Long Term Care exams are desirable.
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.
Financial Advice Quality Assessor - Financial Planning in London employer: atomos wealth
Contact Detail:
atomos wealth Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Financial Advice Quality Assessor - Financial Planning in London
✨Tip Number 1
Network like a pro! Reach out to people in the financial planning industry, especially those who work at firms you're interested in. A friendly chat can open doors and give you insights that job descriptions just can't.
✨Tip Number 2
Prepare for interviews by practising common questions related to compliance and quality assessment. We recommend using the STAR method to structure your answers – it helps you showcase your skills and experiences effectively.
✨Tip Number 3
Show off your attention to detail! During interviews or networking events, share specific examples of how you've identified gaps or issues in previous roles. This will demonstrate your analytical skills and methodical mindset.
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive about their job search.
We think you need these skills to ace Financial Advice Quality Assessor - Financial Planning in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV speaks directly to the role of Financial Advice Quality Assessor. Highlight your experience in file checking and compliance monitoring, and don’t forget to mention your understanding of UK financial planning regulations!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re passionate about maintaining high-quality standards and how your methodical mindset can make an impact on our team.
Show Off Your Attention to Detail: In this role, attention to detail is key. When filling out your application, double-check for any typos or errors. We want to see that you can spot the little things that matter!
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It’s the best way for us to receive your application and get you one step closer to joining our awesome team!
How to prepare for a job interview at atomos wealth
✨Know Your Regulations
Make sure you brush up on UK financial planning regulations and FCA requirements before the interview. Being able to discuss these confidently will show that you understand the compliance landscape and are ready to support the Financial Planners effectively.
✨Showcase Your Attention to Detail
Prepare examples from your past experience where your attention to detail made a difference. Whether it was identifying gaps in documentation or ensuring compliance, having specific stories ready will demonstrate your methodical mindset and analytical skills.
✨Engage with Stakeholders
Think about how you would approach engaging with various stakeholders in the business. Be ready to discuss how you would collaborate with the T&C team and provide constructive feedback to Financial Planners, as this is key to maintaining high-quality standards.
✨Bring Ideas to the Table
Since the role involves process improvements, come prepared with a couple of ideas or suggestions for enhancing file quality or compliance checks. This shows initiative and a proactive attitude, which is something we really value at StudySmarter.