Job Information

A fantastic opportunity has arisen to join a highly successful firm of Financial Advisors placed in beautiful surrounding just outside of town providing compliance support by undertaking tasks to aid risk management within the business.

Purpose:
To operate in a busy sales environment providing compliance support for the company and 40 plus home based financial advisers.
A primary aspect of the role is to act as a Compliance/Quality Assessor
Requiring detailed and accurate analysis of risks and taking appropriate actions to mitigate these whilst maintaining records to a high standard. To maintain business practices, which comply with both the Financial Services and Markets Act as regulated by the Financial Conduct Authority and our own internal requirements for regulated business.


The company has ambitions for further growth and career prospects will exist as expansion takes place.

JOB ACCOUNTABILITIES

1. assess the accuracy, completeness and suitability of adviser's business (pre-sale and post-sale file review) ensuring compliance with regulatory guidance and rules
2. you will be responsible for maintaining accurate records and developing processes and appropriate documentation
3. assist with the introduction of new advisers, through case study and explanation of services and procedures when necessary
4. assist with technical queries from adviser's
5. Ensure standards of compliance and processes are met across the business.
6. Ensure the company complies with FCA requirements, alerting management as appropriate.
7. Assist Head of Professional Standards with tasks as assigned.


DECISION MAKING AUTHORITY

1. Will sign off and agree the quality of pre and post-sale advice reports received from advisers.



1. Will undertake tasks and research as directed with limited supervision.



1. Can implement changes to policy and procedures where appropriate, communicating effectively to affected parties.


JOB CONTENT

1. The job holder will undertake detailed reviews of financial advice cases across the range of financial advice but specifically focussed upon investment advice and to provide feedback to the adviser on quality and offer guidance.
2. The Job Holder will compile statistics to help management information on file quality and to identify trends.
3. The job holder will input to quality improvements and assist with the design and implementation of new documents and templates as required.
4. The Job Holder will undertake a variety of tasks to aid the company to reduce risk and meet its obligations under the FCA rules.
5. The job holder will be required to research technical and product information and maintain knowledge on a wide range of financial products and apply this knowledge when considering file reviews
6. The job holder will be required to assist with tasks of policy and process mapping, to aid staff in undertaking their duties compliantly.



Essential:
1. Existing direct experience as a file quality assessor within Financial Services or related discipline.
2. Strong analytical skills
3. Excellent interpersonal skills
4. Ability to work under pressure
5. Computer literacy with a good knowledge of Microsoft Outlook, Microsoft Office Software and Internet browsers
6. Diploma in Financial Planning Level 4 or equivalent (or progress towards this)


Desirable:
1. Financial Planning qualifications beyond Diploma
2. Experience of working with Microsoft Access Database.
3. Graduate level education


Summary terms of employment
35 hours per week. 9.00 a.m. : 5.00 p.m. One hour lunch break.
Salary by negotiation, plus discretionary bonus scheme.
Eligible for company pension scheme after one year.
25 working days holiday
6 months probation then one month’s notice on either side