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- Tasks: Strengthen first-line controls and ensure high-quality service in financial advice.
- Company: Join a dynamic team focused on quality, accountability, and regulatory excellence.
- Benefits: Competitive salary, professional development, and a collaborative work environment.
- Other info: Opportunity for career growth and to lead a high-performing team.
- Why this job: Make a real impact in financial services while driving best practices and innovation.
- Qualifications: CISI Level 7 or equivalent, with experience in Investment Management and Financial Planning.
The predicted salary is between 40000 - 50000 ÂŁ per year.
We are looking for a proactive and detail‑driven Business Assurance Consultant / Associate to help strengthen our first‑line controls within the Front Office. This role plays a key part in embedding a culture of quality, accountability, and regulatory excellence across our business. You’ll work closely with Branches, Advisers, and Financial Planners, providing technical support that ensures our advice is suitable, our processes are robust, and our clients receive consistently high‑quality service. This position is particularly well suited to individuals with paraplanning experience or a strong background in both Investment Management and Financial Planning. If you are passionate about driving best practice, enjoy applying analytical rigour, and want to contribute to an inclusive, high‑performing team, we’d love to hear from you.
Key Responsibilities
- Conduct pre‑sale and post‑sale reviews to ensure advice is suitable, clearly documented, and compliant with regulatory requirements and internal policies.
- Assess the suitability of advice across pensions, investments, retirement planning, and other product areas.
- Identify and appropriately escalate risks, potential breaches, and documentation discrepancies.
- Complete Qualitative Reviews (QRs) of client portfolios, applying a strong understanding of our investment processes, procedures, and service standards.
- Support the effective management, leadership, and development of the QR team within GCOM, including:
- Maintaining high quality standards and providing constructive recommendations.
- Running peer review processes where appropriate.
- Ensuring Front Office challenges are addressed promptly and collaboratively.
- Supporting SMCR processes and competency sign‑off activities.
- Contribute to the resolution of departmental audit points as required.
Qualifications & Experience
- CISI Level 7, CII Level 7, or an equivalent qualification.
- Experience in both Investment Management and Financial Planning, whether front‑line/client‑facing or within first‑line or second‑line oversight.
- Strong technical understanding of Protection, Pensions, Investments, CGT, and IHT.
- Experience working within a financial or professional services organisation.
- Ability to collaborate effectively with colleagues at all levels.
- Supervisory or team leadership experience is desirable.
Knowledge & Skills
- Highly organised, methodical, and able to manage multiple priorities.
- Strong working knowledge of financial services systems.
- Ability to meet deadlines while demonstrating persistence and strong follow‑through.
- Excellent attention to detail.
- Clear, confident, and respectful communicator, capable of offering and receiving feedback constructively.
- Articulate and diplomatic in all interactions.
- Strong written communication and report‑writing abilities.
- Calm, resilient, and solutions‑focused under pressure.
- Confident leadership capability with the ability to support and mentor others.
Business Assurance Consultant / Associate employer: Raymond James UK
Contact Detail:
Raymond James UK Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Business Assurance Consultant / Associate
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial services sector and let them know you're on the lookout for opportunities. You never know who might have a lead or be able to refer you directly to hiring managers.
✨Tip Number 2
Prepare for interviews by researching the company and its culture. Understand their approach to business assurance and think about how your paraplanning experience can add value. Tailor your responses to show how you can contribute to their goals.
✨Tip Number 3
Practice your interview skills with a friend or mentor. Get comfortable discussing your technical knowledge in areas like pensions and investments, and be ready to demonstrate your analytical rigour and attention to detail.
✨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 are proactive and engaged with our brand.
We think you need these skills to ace Business Assurance Consultant / Associate
Some tips for your application 🫡
Tailor Your CV: Make sure your CV reflects the skills and experiences that match the Business Assurance Consultant role. Highlight your paraplanning experience and any relevant qualifications like CISI Level 7 or CII Level 7. We want to see how you can contribute to our culture of quality and accountability!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about driving best practices in financial services. Share specific examples of how you've applied analytical rigour in past roles, and let us know how you can help strengthen our first-line controls.
Showcase Your Communication Skills: Since this role involves collaborating with various teams, make sure to demonstrate your strong written communication abilities. Whether it's through your CV, cover letter, or any additional documents, clarity and professionalism are key. We appreciate articulate candidates who can communicate effectively!
Apply Through Our Website: We encourage you to apply directly through our website for a smoother application process. It’s the best way for us to receive your application and ensures you don’t miss out on any important updates. Plus, we love seeing applications come in through our own platform!
How to prepare for a job interview at Raymond James UK
✨Know Your Stuff
Make sure you brush up on your knowledge of investment management and financial planning. Be ready to discuss specific products like pensions and investments, and how they relate to the role. This will show that you’re not just familiar with the concepts but can apply them in real-world scenarios.
✨Showcase Your Attention to Detail
Since this role requires a strong focus on quality and compliance, prepare examples from your past experience where your attention to detail made a difference. Whether it was catching a documentation discrepancy or ensuring advice was compliant, these stories will highlight your fit for the position.
✨Demonstrate Your Leadership Skills
Even if you're applying for an associate role, it's important to showcase any supervisory or team leadership experience you have. Think of times when you led a project or mentored a colleague, and be ready to discuss how you can contribute to the development of the QR team.
✨Prepare for Scenario Questions
Expect to face scenario-based questions that assess your problem-solving skills and ability to handle pressure. Practice articulating your thought process clearly and diplomatically, especially when discussing how you would address potential risks or breaches in compliance.