At a Glance
- Tasks: Review financial advice files to ensure top-notch quality and compliance.
- Company: Reputable Wealth Management firm based in Newcastle.
- Benefits: Competitive salary, supportive team environment, and opportunities for professional growth.
- Other info: Collaborative culture focused on continuous improvement and client satisfaction.
- Why this job: Join a dynamic team and make a real difference in financial advice quality.
- Qualifications: Level 4 qualified with experience in quality assurance or file reviewing.
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. Responsibilities include:
- Carrying out suitability assessments on a range of products such as Pensions, Investments, and High-Risk products.
- Reviewing and grading the quality of all product areas, providing clear feedback in a timely manner.
- Supporting Financial Planners while improving their level of advice and building morale within the firm.
- Communicating and escalating when necessary to Planners and raising training needs where appropriate to the T&C Team.
- Averting 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.
- Ensuring any reporting requirements are completed in a timely manner and bringing ideas 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 is essential. CII Award in Regulated Pension Transfer Advice or working towards it is preferred.
Financial Advice Assessor , Quality Assurance & File Review , Pensions in Sunderland 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.
