Vacancy Detail

Quality Assurance Specialist

Our National Financial Planning and Wealth Management client was created to address an increasing demand for financial advice services within the UK. Their aim is to deliver sophisticated financial planning and investment management solutions through their Appointed Representative (AR) network.

Due to expansion the business now seeks to appoint a qualified, competent and experienced Quality Assurance/File Review Specialist. Please read on for further details…….

Pre-sale approval:

  • Adhere to company guidelines in respect of pre-approval criteria and maintenance of company professional standards
  • Review advice, produce accurate quality control reports and provide constructive feedback to Advisers
  • Analyse and understand the client file, needs and objectives together with any other supporting research evidence provided
  • Apply grades 1-6 as appropriate - Outcome 5 and 6 to be notified to the Technical Manager and Head of Advice Proposition
  • Ensure any remedial activity is followed up and completed in a timely manner and updated accordingly in pre-sale approval data base
  • Act as point of contact for queries on suitability from Advisers
  • Provide qualitative feedback to Head of Advice Proposition
  • Assist with the on-going development of QC functions and procedure
  • Identify and report trends which may indicate weaknesses in the understanding and implementation of the advice process
  • Undertake both pre-sale approval file checking and Financial Promotions approvals to ensure Agreed Service Levels are maintained
  • Provide formal notification of all guidance requested from the Compliance Department.

Experience and Qualifications

Financial Services experience with a high level of attention to written communications and numerical detail is essential.

You will ideally hold the Diploma Level 4 qualification or be working towards this. Pension Transfer knowledge would be highly desirable alongside being AF3 or AF7 qualified. 

This position will be home based indefinitely with very occasional travel to Head Offices.

The company enjoys an excellent working culture where staff retention is excellent. This is an award winning, notable brand and one which is going through current expansion through PE investment. There has never been a better time to join the business. 

A highly attractive salary, discretionary company bonus, alongside comprehensive benefits are all available.

This is a genuine career opportunity for those with the right experiences and skill sets, the business is looking to interview as soon as possible, please apply to us here at Recruit Wealth for an immediate response.

Please apply to us here at Recruit Wealth for an immediate response.


Location: Home based | Salary: 35000 - 40000 per | Job type: Permanent | Posted: 28/06/2022