Job Information

A Newcastle based Independent Financial Advisers are looking for a Quality Assurance Technician to help deliver first line quality activities, ensuring that advice provided by the business is suitable and of a high quality.



You will benefit from;

• A generous salary - up to 40k
• Annual bonus scheme - Discretionary
• Holidays : 25 days plus Bank holidays + Buy and Sell Scheme
• Death in Service
• Flexible benefits
• Option to work from multiple North East / North Yorkshire Offices
• Pension - via auto-enrolment with The People`s Pension scheme. Contributions are 9% employer & no obligation for employees



When successful you will be expected to;

• Review the advice being proposed to ensure it is the most suitable course of action for the customer and that there is enough information on file to support the advice and suitability
• Assess the accuracy and adequacy of the file documentation, ensuring it is completed in line with the firm`s requirements
• Assess and grade cases, and maintain accurate records to allow appropriate MI to be produced
• Provide clear, accurate and constructive feedback to the advisers and paraplanners dealing with the case
• Ensure completion by the adviser of any remedial action within acceptable timeframes
• Report identified rule breaches (internal or FCA) to the Compliance Team
• Identify any emerging trends or risks to the Compliance Team
• Provide feedback to T&C Consultants, Management Team, Compliance on specific issues with individual advisers or broader trends to ensure appropriate steps are put in place to address these
• Assist with the maintenance of report templates
• Support advisers and paraplanners with technical queries, and assist paraplanners with the use of research tools
• Maintain the technical knowledge necessary to assess the suitability of advice across the range of products and services offered by the business
• Maintain knowledge of the internal procedures and relevant Regulatory Rules



If you would like to know more, please search ‘Cameron James Professional Recruitment` and call and ask for Richard.



Or apply now.