p strong The Client /strong p /p p A well-established Wealth Management firm. /p p /p p strong The Role /strong /p p /p p This is a fantastic opportunity for to join a highly credible Wealth Management company working in their Nottingham office. The Financial Advice Assessor will be b Level 4 Qualified /b undertake file reviews to make sure the Wealth Management firm is providing a high quality level of advice in line with internal policies and FCA requirements. /p p /p p The Financial Advice Assessor will work alongside a small team and engage with key stakeholders in the business and compliance in supporting the development of the Wealth Management firms advice quality. /p p /p p The Financial Advice Assessor is to carry out suitability assessments on a range of products such as Pensions, Investments and High Risk products. /p p /p p The Financial Advice Assessor will review and grade the quality on all product areas providing clear feedback in a timely manner. /p p /p p The Financial Advice Assessor is expected to support Financial Planners whilst improving on their level of advice and building on moral within the firm. /p p /p p The Financial Advice Assessor will communicate and escalate when necessary to Planners and raise training needs where appropriate to the T C Team. /p p /p p The Financial Advice Assessor will avert foreseeable harm to clients in line with the requirements of Consumer Duty, whilst working alongside the Advice Quality team to ensure a consistent level of advice quality. /p p /p p The Financial Advice Assessor will ensure any reporting requirements are completed in a timely manner, as well as bringing ideas to the table to improve work projects and processes. /p p /p p strong The Candidate /strong /p p /p p Level 4 compliant (Financial Planning Diploma or IAD) in Financial Services /p p /p p Must have experience performing a similar quality/file reviewing, Quality Assurance, Suitability or T C role. /p p /p p Knowledge of Pension transfers, investment advice from a Financial Planning perspective. /p p /p p CII Award in Regulated Pension Transfer Advice or working towards is preferred. /p
