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For Companies At a Glance
- Tasks: Ensure clients receive top-notch advice through file reviews and performance reporting.
- Company: Join Rathbones, a trusted leader in investment and wealth management for generations.
- Benefits: Enjoy flexible working, a supportive culture, and opportunities for professional growth.
- Why this job: Make a real impact by ensuring quality advice and contributing to a responsible future.
- Qualifications: Level 4 Diploma in Financial Planning or equivalent; experience in paraplanning or compliance required.
- Other info: We value diversity and inclusivity, welcoming applicants from all backgrounds.
The predicted salary is between 36000 - 60000 £ per year.
Rathbones provides individual investment and wealth management services for private clients, charities, trustees and professional partners. We have been trusted for generations to manage and preserve our clients’ wealth. Our tradition of investing and acting responsibly has been with us from the beginning and continues to lead us forward. Our ambition is to be recognised as the UK’s most responsible wealth manager. We see it as our responsibility to invest for everyone’s tomorrow. That means doing the right thing for our clients and for others too. Keeping the future in mind when we make decisions today. Looking beyond the short term for the most sustainable outcome. This is how we build enduring value for our clients, make a wider contribution to society and create a lasting legacy. Thinking, acting and investing responsibly.
The Role
- To ensure clients receive high quality, suitable advice and risks to the business are mitigated by providing first line of defence via pre and post-sale file reviews to the Rathbones Financial and Wealth Planning team.
- To provide relevant reports on performance to the Management Team.
Outcomes of the Role
- Act as first line of defence conducting file checks covering all product lines including Pensions, Protection, Investments and Estate Planning. Review the quality of advice being given ensuring it is in line with advice standards, regulatory requirements and demonstrates best customer outcomes.
- Provide feedback and reporting on quality checking results with any remedial actions required to the relevant teams and individuals.
- Report review findings to advisers and paraplanners, their managers and the senior leadership team which includes clear data to allow Key Performance Indicators to be monitored.
- Maintain file quality review standards alignment with 2nd line of defence.
- Maintain required productivity levels to ensure the Advice Oversight team complete their workflow in a timely fashion.
- Provide input to training and enablement events to improve knowledge and advice standards.
- Proactively identify trends and feed continuous improvement suggestions back through the role holders line manager.
- Work with fellow Advice Oversight to ensure a consistency of view from this function.
- Undertake and assist in project work as arising.
Knowledge & Experience
- Minimum Level 4, Diploma in Financial Planning or equivalent.
- Willing to work towards obtaining Level 6 CII Chartered Financial Planner status.
- Experience of working as a senior paraplanner/ paraplanner (2+ years) or in a T&C / Compliance or equivalent function within a Planning led unit.
- Experience of working with centrally devised tools, templates and guidance.
- Experience of managing own workload whilst working towards meeting team targets and being responsible for the quality of work produced.
- Analytical thinking - deals with data quickly and accurately and can relate and compare data from different sources.
- Recognise trends, identifying key issues and securing relevant information.
- Able to understand complex planning advice.
- Giving feedback.
- Team work and influencing.
- Excellent communicator, including high literacy, numerical and verbal skills.
- Able to adopt a pragmatic approach to case checking.
- High level of knowledge and technical expertise relating to Financial Planning.
Life at Rathbones
We aim to become an employer of choice for the wealth management sector, to achieve this we are working hard to build a diverse, equal, and inclusive workplace that motivates, develops and embraces the strengths of all our colleagues. Being part of Rathbones means you will join a team of passionate professionals in a successful culture that cares for its people. At Rathbones, we provide meaningful work, opportunities, and a voice to all. We are committed to building a team that is made up of diverse skills, experiences and abilities and encourage applications from all backgrounds. We welcome individuals who share our values – those that are passionate about client service, operate with the highest levels of integrity and have a strong results focus. We’re a Level 1 Disability Confident employer under the UK Government scheme. This means we’ve signed up to a set of commitments around how we recruit, retain and develop people with disabilities. If you require adjustments to apply for a role at Rathbones, please contact us via recruit@rathbones.com to let us know what adjustments you may need.
Advice Oversight Specialist employer: Rathbone Brothers
Contact Detail:
Rathbone Brothers Recruiting Team
recruit@rathbones.com
StudySmarter Expert Advice 🤫
We think this is how you could land Advice Oversight Specialist
✨Tip Number 1
Familiarise yourself with the latest regulatory requirements and best practices in financial planning. This knowledge will not only help you in interviews but also demonstrate your commitment to maintaining high standards in advice oversight.
✨Tip Number 2
Network with professionals in the financial planning and compliance sectors. Attend industry events or join relevant online forums to connect with others who can provide insights into the role and potentially refer you to opportunities at Rathbones.
✨Tip Number 3
Prepare to discuss specific examples of how you've ensured quality in previous roles, particularly in file reviews or compliance checks. Highlighting your analytical skills and attention to detail will be crucial in showcasing your fit for the Advice Oversight Specialist position.
✨Tip Number 4
Stay updated on trends in financial planning and wealth management. Being able to discuss current issues and innovations during your interview will show that you're proactive and engaged in the field, making you a more attractive candidate for us.
We think you need these skills to ace Advice Oversight Specialist
Some tips for your application 🫡
Understand the Role: Before applying, make sure to thoroughly read the job description for the Advice Oversight Specialist position. Understand the key responsibilities and required skills, so you can tailor your application accordingly.
Highlight Relevant Experience: In your CV and cover letter, emphasise your experience in financial planning, compliance, or as a paraplanner. Use specific examples that demonstrate your analytical thinking and ability to provide quality advice.
Showcase Your Qualifications: Mention your Level 4 Diploma in Financial Planning or any progress towards Level 6 CII Chartered Financial Planner status. This will show your commitment to professional development and expertise in the field.
Tailor Your Cover Letter: Craft a personalised cover letter that reflects your understanding of Rathbones' values and mission. Discuss how your skills align with their goal of providing high-quality, responsible wealth management services.
How to prepare for a job interview at Rathbone Brothers
✨Understand the Role Thoroughly
Before the interview, make sure you have a solid understanding of what an Advice Oversight Specialist does. Familiarise yourself with the key responsibilities, such as conducting file checks and providing feedback on advice quality. This will help you answer questions confidently and demonstrate your knowledge.
✨Showcase Your Analytical Skills
Given the role's focus on data analysis and identifying trends, be prepared to discuss your experience with analytical thinking. Bring examples of how you've dealt with data in previous roles, especially in relation to financial planning or compliance.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your ability to handle real-life situations in the role. Think about past experiences where you had to provide feedback or improve processes, and be ready to explain your thought process and outcomes.
✨Emphasise Teamwork and Communication
As the role involves working closely with advisers and paraplanners, highlight your teamwork and communication skills. Be ready to share examples of how you've collaborated with others to achieve common goals, and how you’ve influenced positive changes in your previous positions.
