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- Tasks: Review and assess financial advice reports to ensure compliance with regulations.
- Company: Established Wealth Management firm in London with a collaborative culture.
- Benefits: Competitive salary, professional development, and a dynamic work environment.
- Why this job: Join a team making a real impact in financial advice across the UK and Europe.
- Qualifications: Level 4 qualified in Financial Planning with strong FCA knowledge.
- Other info: Opportunities for process improvement and career growth in a supportive team.
The predicted salary is between 36000 - 60000 £ per year.
MERJE are delighted to be partnered with this established Wealth Management firm in London. Working in a highly collaborative and successful environment, you will be part of a team that provides regulated financial and investment advice to clients in the UK and across Europe. As a Business Assurance Analyst, you will review and assess suitability reports related to pensions, ISAs, General Investment Accounts, investment bonds (onshore and offshore) and trusts.
Responsibilities include:
- Review suitability reports to ensure that any financial and investment advice given to potential and existing clients meet the overarching suitability requirements of the Financial Conduct Authority.
- Proactively contact internal clients and seek further information and any necessary clarifications.
- Provide feedback to report writers and respond to any follow-up enquiries.
- Provide feedback to the Training Program Manager on areas that require further improvement and development in the advice team.
- Discuss possible process improvements with management and senior management.
- Attend roundtable meetings with report writers to discuss themes identified in reviews and suggest areas for improvement.
Ideal candidate:
- Level 4 qualified – Diploma in Financial Planning / Regulated Financial Planning.
- Very strong understanding of the FCA's COBS requirements for suitability.
- Prior experience in file reviewing personal recommendations for retail clients.
- Very strong understanding of financial planning principles with a specialism in pension planning.
- Able to clearly explain complex issues in writing and face-to-face.
- Dynamic people skills with the ability to provide an efficient, professional and courteous service to internal clients.
Compliance Suitability - Wealth Manager employer: MERJE
Contact Detail:
MERJE Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Suitability - Wealth Manager
✨Tip Number 1
Network like a pro! Reach out to your connections in the wealth management sector and let them know you're on the lookout for opportunities. You never know who might have a lead or can put in a good word for you.
✨Tip Number 2
Prepare for those interviews by brushing up on your knowledge of FCA's COBS requirements. Be ready to discuss how your experience aligns with the role, especially around suitability reports and financial planning principles.
✨Tip Number 3
Showcase your dynamic people skills! During interviews, demonstrate how you can communicate complex issues clearly and effectively. Remember, it's not just about what you know, but how you connect with others.
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who take that extra step to engage with us directly.
We think you need these skills to ace Compliance Suitability - Wealth Manager
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Suitability role. Highlight your Level 4 qualifications and any relevant experience in reviewing suitability reports. We want to see how your skills align with the job description!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about wealth management and how your background fits the role. Don’t forget to mention your understanding of FCA's COBS requirements – it’s a biggie for us!
Showcase Your Communication Skills: Since you'll be providing feedback and discussing improvements, it's crucial to demonstrate your communication skills. Use clear and concise language in your application to show us you can explain complex issues effectively.
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It helps us keep track of your application and ensures you don’t miss out on any important updates. Plus, we love seeing applications come directly from our site!
How to prepare for a job interview at MERJE
✨Know Your FCA COBS Inside Out
Make sure you brush up on the Financial Conduct Authority's COBS requirements. Being able to discuss these in detail will show that you understand the regulatory landscape and can apply it to your role as a Compliance Suitability Wealth Manager.
✨Prepare for Scenario Questions
Expect questions that ask you to assess suitability reports or handle client scenarios. Practise articulating your thought process clearly, as this will demonstrate your analytical skills and ability to provide sound financial advice.
✨Showcase Your Communication Skills
Since you'll be providing feedback and engaging with report writers, it's crucial to highlight your dynamic people skills. Prepare examples of how you've effectively communicated complex issues in previous roles, both in writing and face-to-face.
✨Be Ready to Discuss Process Improvements
Think about any process improvements you've implemented in past roles. Be prepared to discuss these ideas during the interview, as it shows initiative and a commitment to enhancing team performance, which is key in a collaborative environment.
