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As a Wealth Business Assessor, you will be responsible for the pre and post-sale advice checking of Pension and Investment business for the network. Ensuring that the advice complies with current regulation and the firms COB Suitable Advice framework.You will review both the advice and the Suitability Report, providing constructive feedback to advisers and suggest improvements, where necessary.

This is a 12 month fixed term contract

Hybrid, based 2 days a week in their Swindon office

The benefits:

  • Salary - up to £40,000
  •  Bonus scheme - on target bonus - 7.5%
  • Pension scheme - contribute up to 5% of your salary and they will match you and put in an extra 5%
  • Critical illness cover
  • Income protection - 1x salary
  • Death in service - 4x salary
  • 25 days holiday + bank holidays, with the opportunity to buy up to an additional 10 days
  • A range of other flexible benefits to include private medical insurance, dental insurance and much more.

Your responsibilities will include:

  • Checking of cases in accordance with current regulation and firms COB Suitable Advice framework, in an accurate, effective, and fair way 
  • Identify and champion improvements to team processes and procedures. 
  • Work in collaboration across the partnership ensuring that the financial advisers’ requirements are met, which allows them to provide suitable advice. 
  • Identify and develop strong relationships with key contacts across the partnership (both internally and externally) providing advice and technical guidance as required 
  • Regularly chase the adviser and/or providers where there are outstanding requirements. 
  • Ensure all work is completed compliantly and within agreed service level agreements. 

What will you need to succeed?

  • Extensive previous experience in a financial services organisation.
  • Level 4 Diploma in Financial Planning 
  • Good understanding of pension and investment products.
  • Previous experience of proactively managing a pipeline.
  • Previous experience of dealing with adviser and providers.
  • Knowledge of Pensions & Investment products, including safeguarded Benefits, SIPPs, and Pension Crystallisation.
  • Good understanding of Financial Conduct Authority requirements for pension and investment transfers.
  • Awareness of Financial Conduct Authority, Treating Customers Fairy principles and general advice process.
  • Understanding of how to use MS Office, particular Word and Excel.