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 Newcastle with a strong focus on quality.
- Benefits: Competitive salary, professional development, and a supportive team environment.
- Other info: Collaborative atmosphere with opportunities for career growth and skill enhancement.
- Why this job: Make a real difference by enhancing the quality of financial advice for clients.
- Qualifications: Level 4 qualified in Financial Services with relevant experience in quality assurance.
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 Newcastle 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 of 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, whilst 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 Liverpool 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.
StudySmarter Expert Advice🤫
We think this is how you could land Financial Advice Assessor, Quality Assurance & File Review, Pensions in Liverpool
✨Tap into Campus Networks
If you're still in uni, don’t forget to engage with your campus's career services and attend finance-related events. Banks often do presentations and recruitment drives on campus, so put yourself out there and make use of these opportunities to show off your passion for the field.
✨Get Certified
Consider pursuing relevant certifications like the CFA or ACCA while you’re job hunting. They not only beef up your CV but also connect you with professional bodies which can lead to networking opportunities and even job openings in banking and financial services.
✨Connect on Professional Platforms
Join finance-focused groups on platforms like LinkedIn and engage in discussions. This can really help you stand out from the crowd, allowing potential employers to see your knowledge and interest in industry trends. Plus, you might stumble upon job postings shared exclusively within the group.
✨Apply Directly and Be Proactive
Don’t shy away from reaching out directly to firms like JJ Search Ltd. Use their websites and apply through them, but also consider following up with a polite email to express your enthusiasm. Being proactive can make a huge difference in getting noticed in the competitive financial services sector.
We think you need these skills to ace Financial Advice Assessor, Quality Assurance & File Review, Pensions in Liverpool
Some tips for your application 🫡
Show Off Your Numbers!:In the banking and financial services world, quantifiable achievements are key. Make sure your CV highlights your grades in relevant subjects, any financial certifications you hold, and specific projects where you've delivered measurable results. Employers love to see how your skills translate into real-world success.
Tailor Your Cover Letter to the Role:When applying for a full-time position, your cover letter should make a direct connection between your experience and the job description. Don't just state your enthusiasm for finance—dive into how your background in banking or financial analysis sets you apart. Let your passion shine through while being specific about what you can bring to JJ Search Ltd.
Include Relevant Financial Software Experience:If you've worked with financial modelling tools or software like Excel, SAP, or specific analytical tools during your studies or internships, bring that up! Highlighting your proficiency can really make your application pop and show you're ready to hit the ground running in a full-time role.
Research and Reflect:Before hitting that 'apply' button on JJ Search Ltd's website, do a little digging. Look up their recent projects, values, and culture. Reflecting their ethos in your application can make a huge difference and show you’re genuinely interested in being part of the team!
How to prepare for a job interview at JJ Search Ltd
✨Brush Up on Financial Analysis Skills
Make sure you're well-versed in financial concepts and analytical techniques relevant to banking and financial services. Get comfortable with tools like Excel for modelling or financial forecasting, as technical questions in this area are common during interviews with JJ Search Ltd.
✨Prepare for Case Studies
Expect to tackle case studies that demonstrate your problem-solving skills in real-world banking scenarios. Familiarise yourself with the types of problems you might face—think risk assessments or investment evaluations—and be ready to articulate your thought process clearly.
✨Show Your Passion for Finance
Since this is a full-time position, employers at JJ Search Ltd will be keen to see your genuine interest in finance. Be prepared to discuss recent industry trends or news articles that excite you, showcasing your enthusiasm and engagement with the field.
✨Network with Industry Professionals
Before your interview, reach out to current or former JJ Search Ltd employees on platforms like LinkedIn. They'll offer unique insights into the company's culture and the interview process, which can give us a delightful edge in showcasing a good fit for the team.
