At a Glance
- Tasks: Conduct file reviews and assess adviser suitability to ensure quality advice.
- Company: Join a leading compliance team in a supportive and inclusive environment.
- Benefits: Flexible working, competitive salary, and opportunities for professional growth.
- Other info: Dynamic office in Harrogate with great transport links and local amenities.
- Why this job: Make a real impact on client outcomes while developing your skills in compliance.
- Qualifications: Level 4 Diploma in Financial Planning and experience in financial services required.
The predicted salary is between 40000 - 50000 £ per year.
Description
We are looking for a Quality Review Assessor to join our Compliance team and play a key role in maintaining and improving the quality of advice delivered across our network.
You will conduct file reviews, assess adviser suitability and regulatory compliance, identify trends and risks, and support firms in delivering good client outcomes.
Application Deadline
Department
Network Compliance
Location
Horsham
We are looking for a Quality Review Assessor to join our Compliance team and play a key role in maintaining and improving the quality of advice delivered across our network.
You will conduct file reviews, assess adviser suitability and regulatory compliance, identify trends and risks, and support firms in delivering good client outcomes.
You will work closely with advisers, senior management, and compliance colleagues to promote high standards of advice and regulatory compliance across the business.
What you'll do
- Maintain a comprehensive programme of file monitoring across the network in line with regulatory requirements.
- Conduct quality of advice reviews across all areas of the business and Appointed Representative (AR) firms.
- Record, analyse and report on emerging trends, ensuring findings are communicated within agreed timescales.
- Carry out enhanced monitoring reviews, risk assessments, and focused business reviews where required.
- Analyse exception reporting data to identify patterns, risks, and opportunities for improvement.
- Support member firms by coordinating and delivering training designed to improve advice quality and regulatory standards.
- Assist with pre-approval requirements across specific advice areas.
- Attend Compliance Team meetings, contribute to discussions, and prepare meeting minutes when required.
- Attend and contribute to governance and committee meetings across the group.
- Provide ongoing monitoring and compliance support to the wider team.
- Participate in projects, initiatives, and continuous improvement activities across the compliance function.
- Build effective working relationships with advisers, member firms, and senior stakeholders.
- Provide telephone support and guidance on compliance-related matters.
- The knowledge, experience and qualifications you need
- Knowledge and Skills
- Excellent knowledge of retail investment, pensions, savings, and protection products within the wealth management sector.
- Strong understanding of FCA regulations and the practical application of regulatory requirements.
- Excellent analytical and observational skills with strong attention to detail.
- Highly developed written and verbal communication skills.
- Ability to communicate confidently with a wide range of stakeholders while remaining adaptable and collaborative.
- Strong organisational skills with the ability to manage multiple priorities effectively.
Qualifications
- Minimum Level 4 Diploma qualification in Financial Planning or an equivalent regulated advice qualification.
Experience
- Significant experience within financial services, ideally within a wealth management, investment, or insurance environment.
- Experience conducting suitability reviews, file checking, quality assurance reviews, or compliance monitoring activities.
- Good understanding of FCA and PRA regulatory expectations and compliance requirements.
- Experience identifying trends, assessing risk, and providing constructive feedback to support improvements in advice quality.
- The base
You’ll be based at our Harrogate, North Yorkshire office, a well-connected location that combines a professional working environment with the benefits of a well‑regarded market town.
The area offers easy access to local amenities, green space, and transport links.
The office provides a practical, modern setting designed to support day‑to‑day work and collaboration across the team.
We support a balanced approach to work and recognise the value of a working environment that enables both productivity and flexibility.
We’re looking for the best, whoever they are
We are proud to be an equal opportunities employer.
You’re welcome at Benchmark regardless of your age, disability, gender identity or expression, religious beliefs, sexual orientation, or socio‑economic background.
We’re building a workplace where everyone feels respected, valued, and empowered to thrive.
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Quality And Risk Analyst employer: Benchmark Capital
Benchmark Capital is an exceptional employer, offering a dynamic work culture that fosters collaboration and innovation in the wealth management sector. Located in Horsham, England, employees benefit from a supportive environment that prioritises professional growth and development, alongside competitive remuneration and unique networking opportunities within the UK market. Join us to make a meaningful impact while advancing your career in a forward-thinking company committed to excellence.
StudySmarter Expert Advice🤫
We think this is how you could land Quality And Risk Analyst
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Benchmark Capital looking for candidates who are engaged and informed.
We think you need these skills to ace Quality And Risk Analyst
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Benchmark Capital. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Benchmark Capital
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Benchmark Capital’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
