At a Glance
- Tasks: Review financial advice files and ensure compliance with internal policies and FCA requirements.
- Company: Join a reputable Wealth Management firm in Manchester with a strong team culture.
- Benefits: Competitive salary, professional development opportunities, and a supportive work environment.
- Other info: Opportunity to grow your career in a dynamic and impactful industry.
- Why this job: Make a real difference in financial advice quality while working with experienced professionals.
- Qualifications: Level 4 qualified in Financial Services with relevant experience in quality assurance roles.
The predicted salary is between 35000 - 45000 £ per year.
The Client
A well-established Wealth Management firm.
The Role
This is a fantastic opportunity to join a highly credible Wealth Management company working in their Manchester office. The Financial Advice Assessor will be Level 4 Qualified and undertake file reviews to ensure the Wealth Management firm is providing a high quality level of advice in line with internal policies and FCA requirements. The Financial Advice Assessor will work alongside a small team and engage with key stakeholders in the business and compliance to support the development of the Wealth Management firm's advice quality.
The Financial Advice Assessor is to carry out suitability assessments on a range of products such as Pensions, Investments, and High Risk products. They will review and grade the quality on all product areas, providing clear feedback in a timely manner. The Financial Advice Assessor is expected to support Financial Planners while improving their level of advice and building morale within the firm. They will communicate and escalate when necessary to Planners and raise training needs where appropriate to the T&C Team.
The Financial Advice Assessor will avert foreseeable harm to clients in line with the requirements of Consumer Duty, while working alongside the Advice Quality team to ensure a consistent level of advice quality. They 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.
The Candidate
Level 4 compliant (Financial Planning Diploma or IAD) in Financial Services. Must have experience performing a similar quality/file reviewing, Quality Assurance, Suitability or T&C role. Knowledge of Pension transfers and investment advice from a Financial Planning perspective. CII Award in Regulated Pension.
Financial Advice Assessor , Quality Assurance & File Review , Pensions in Bolton employer: JJ Search Ltd
As a leading Financial Services firm, we pride ourselves on fostering a dynamic work culture that prioritises employee well-being and professional growth. Our Harrogate location offers a collaborative environment where Facilities Managers can thrive, supported by comprehensive benefits and opportunities for advancement within the organisation. Join us to make a meaningful impact while enjoying a rewarding career in a vibrant community.
