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Project Quality Assurance Advisor
4 months ago
The client
A well-established boutique Wealth Management firm.
The Role
This is a fantastic opportunity for a Training & Competence Advisor to join a highly credible Wealth Management company working in their Bristol office. The Training & Competence Advisor will undertake file reviews to make sure the Wealth Management firm is providing a high quality level of advice in line with internal policies and FCA requirements.
The Quality Assurance Advisor will work alongside a small team and engage with key stakeholders in the business and compliance in supporting the development of the Wealth Management firms advice quality.
The Quality Assurance Advisor is to carry out suitability assessments on a range of products such as Pensions, Investments and High Risk products.
The Quality Assurance Advisor will review and grade the quality on all product areas providing clear feedback in a timely manner.
The Quality Assurance Advisor is expected to support Financial Planners whilst improving on their level of advice and building on moral within the firm.
The Quality Assurance Advisor will communicate and escalate when necessary to Planners and raise training needs where appropriate to the T&C Team.
The Quality Assurance Advisor will avert foreseeable harm to clients in line with the requirements of Consumer Duty, whilst working alongside the Advice Quality team to ensure a consistent level of advice quality.
The Quality Assurance Advisor will ensure any reporting requirements are completed in a timely manner, as well as bringing ideas to the table to improve work projects and processes.
The Candidate
Level 4 compliant (Financial Planning Diploma or IAD) in Financial Services
Must have experience performing a similar quality/file reviewing, Quality Assurance, Suitability or T&C role.
CII Award in Regulated Pension Transfer Advice or working towards is preferred.
