Vacancy Detail

Trainee 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 continued team expansion the business now seeks to recruit an entry level QA Specialist who would like to begin a career in compliance. Please note, the full job profile is detailed below but the hiring manager is looking to train and develop.

The business seeks an individual from a professional working background, Financial Services would be preferable. Experience of working within a Financial Planning business as an administrator or paraplanner would be desirable.

A willingness to study towards the Level 4 Diploma in Financial Advice will also be required in this opportunity.

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

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

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

The business is looking to interview immediately and appoint as soon as possible subject to notice period.

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


Location: Home working with occasional travel to London | Salary: 25000 - 30000 per | Job type: | Posted: 01/07/2022