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Advice Quality Assessor

Recruit Wealth are representing one the UK's largest Financial Planning & Wealth Management brands who now seek an experienced Advice Quality Assessor. 

This role is aligned to the Bristol offices, however, the business is very happy for you to work from home with very occasional travel to the offices. 

The role

Monitor the advice given by Financial Planners to demonstrate adherence with the principles and rules of the FCA, promoting TCF and reducing the likelihood that the business can be used for the purposes of financial crime. Provide support to the Advice Quality Team Leader with the development of the quality of the department’s profile within the business.

To undertake compliance audit work, including regular and ad-hoc reviews of client files, suitability letters and investment reports

To provide feedback and guidance to Wealth Planners, Paraplanners and Administrators regarding particular and/or general issues to ensure adherence to standards and regulatory requirements.

To highlight trends and concerns and raise them to the Advice Quality Team Leader and Head of Advice.

To address and advise upon general compliance queries when they arise.

To liaise with compliance consultants where necessary.

To assist the Head of Advice and Advice Quality Team Leader in department projects. This will involve (in varying degrees) planning, overseeing, coordinating, executing, reporting on (verbal and written to a variety of stakeholders) and recording all outcomes of any such projects.

To provide MI regarding the compliance monitoring function.

Skills

The successful candidate will demonstrate the following:

  • Fully Diploma qualified
  • AF3 (or equivalent qualification) is desirable
  • Compliance/file checking experience
  • Up to date knowledge of relevant regulatory updates
  • Good decision making skills

Our client is looking to interview and offer the role as soon as reasonably possible. We are looking to speak to candidates immediately, please apply for a response from the team here at Recruit Wealth. 


Location: Bristol (Home Based) | Salary: 42500 - 45000 per | Job type: Contract | Posted: 14/09/2021

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