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- Tasks: Support quality assurance in financial services, ensuring compliance and high standards.
- Company: Join a leading financial services firm committed to excellence and teamwork.
- Benefits: Competitive salary, professional development, and a collaborative work environment.
- Other info: Dynamic role with opportunities for leadership and career growth.
- Why this job: Make a real impact on client service and drive best practices in finance.
- Qualifications: CISI Level 7 or equivalent, with experience in Investment Management and Financial Planning.
The predicted salary is between 45000 - 55000 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.
- Run peer review processes where appropriate.
- Ensure Front Office challenges are addressed promptly and collaboratively.
- Support 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 in London 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 in London
✨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. Focus on articulating your technical knowledge and how it relates to the role. Being calm and confident will help you stand out as a strong candidate.
✨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 about their job search.
We think you need these skills to ace Business Assurance Consultant / Associate in London
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 to catch our eye!
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 and how your background in Investment Management and Financial Planning makes you a perfect fit for us.
Showcase Your Attention to Detail: In this role, attention to detail is key. When writing your application, ensure there are no typos or errors. This not only shows your professionalism but also reflects your ability to maintain high-quality standards.
Apply Through Our Website: We encourage you to apply directly through our website. It’s the easiest way for us to receive your application and ensures you’re considered for the role. Plus, it shows you’re keen on joining our team!
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 basics but can also apply your expertise in real-world scenarios.
✨Showcase Your Attention to Detail
Since this role requires a strong focus on quality and compliance, prepare examples that highlight your attention to detail. Think about times when you identified discrepancies or improved processes. This will demonstrate your proactive approach and commitment to maintaining high standards.
✨Be a Team Player
Collaboration is key in this role, so be ready to talk about your experience working with different teams. Share examples of how you’ve successfully collaborated with colleagues at various levels, and how you’ve contributed to a positive team culture. This will show that you can fit into their inclusive, high-performing environment.
✨Prepare for Scenario Questions
Expect questions that assess your problem-solving skills and ability to handle pressure. Think through potential scenarios related to risk assessment or client portfolio reviews, and how you would approach them. This will help you demonstrate your analytical rigour and solutions-focused mindset.