A leading UK financial advice network is looking for a Business Quality Adviser to join its Supervision & Assurance team, reviewing advice files to make sure clients get good outcomes.
What you'll do
- Carry out pre- and post-sale file reviews across Investments, Pensions, Mortgages and Insurance
- Assess suitability, affordability, capacity for loss, risk profiling and disclosure against COBS, MCOB, ICOBS, PROD and Consumer Duty
- Give clear, constructive feedback to advisers and support them in raising standards
- Run root cause analysis on failed or at-risk cases and help improve controls and guidance
- Contribute to thematic reviews (e.g. retirement advice, DB transfers, vulnerable customers)
What you'll need
- Experience in quality assurance or paraplanning within a financial advice firm
- Strong knowledge of FCA rules, Consumer Duty and vulnerable customer guidance
- Level 4 Diploma (DipPFS, DipFA or equivalent)
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File Reviewer employer: Broadgate
Join a leading global insurance group that prioritises innovation and excellence in technology risk management. With a strong commitment to employee development, you will have access to unparalleled growth opportunities and a collaborative work culture that values your insights and expertise. Located at the heart of a complex, multi-jurisdictional business, this role offers a unique chance to influence strategic decisions at the highest level while working alongside industry leaders in a supportive environment.
