At a Glance
- Tasks: Review financial advice files to ensure high-quality standards and compliance.
- Company: Reputable Wealth Management firm based in Manchester.
- Benefits: Competitive salary, professional development, and a supportive team environment.
- Other info: Opportunity for career growth and to influence best practices in the industry.
- Why this job: Join a dynamic team and make a real difference in financial advice quality.
- 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 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. They will carry out suitability assessments on a range of products such as Pensions, Investments, and High Risk products.
The Financial Advice Assessor will review and grade the quality of all product areas, providing clear feedback in a timely manner. They are expected to support Financial Planners while improving their level of advice and building morale within the firm.
The Financial Advice Assessor will communicate and escalate when necessary to Planners and raise training needs where appropriate to the T&C Team. They 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.
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.
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 Transfer Advice or working towards is preferred.
Financial Advice Assessor , Quality Assurance & File Review , Pensions in Warrington 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.
