Compliance Advice Quality Assessor
6 months ago
**Looking to put your **Compliance**,** advice** quality assurance and file checking experience to use where your efforts **will be** recognised and rewarded?**
- Are you able to help us maintain our excellent reputation for client care and professionalism?
- Join us, and put your technical and product knowledge, methodical methods, and attention to detail to use as part of our friendly team.**Where do you fit in?**
Youll undertake file reviews to ensure that our business is providing the highest standards of advice to our clients, in line with internal policies and FCA requirements. Engaging with Financial Planners, Paraplanners and stakeholders business wide, youll support the development of advice quality, playing a crucial role in maintaining our high standards and reputation.
- Youll champion a positive and efficient compliance program, always prioritising great outcomes for our clients.
**Day to day **you**ll** be involved with**
- ** Compliance Adherence**: Following FCA regulations
- ** File Checking**: Implement and manage the file checking programme
**Pre-Approval**: Review fact find and suitability reports for suitability of advice
- **P**ost-Sale**: Review of complete file, ensuring advice is appropriate and evidenced that compliant sales process followed
** Communication**: Convey review outcomes clearly
- ** Follow-Up**: Ensure timely completion of remedial actions
- ** Record Keeping**: Maintain accurate file review records
- ** Breach Reporting**: Report any breaches promptly
- ** Advisor Support**: Guide advisers on procedures and record keeping
- ** Knowledge Sharing**: Identify trends and support advisers, along with our T&C Team
- ** Point of Contact**: Provide technical guidance to advisers, paraplanners, and admin teams
**Whats** in it for you?**- A competitive salary + benefits including private medical insurance, paid birthday leave, and a staff discount platform- A busy, varied role with lots to do. A friendly, growing team in an expanding business- Professional growth within a positive client focused environment. Youll be part of a team that prioritizes excellent client outcomes
**What do you need to succeed?**- Experience performing a similar quality/file reviewing role preferably within an IFA environment, along with your QCF Level 4 (or youll be close to achieving this)- Product knowledge across all advice areas, with an understanding of FCA rules and regulations- Attention to detail: meticulous and thorough in reviewing files, youll be a team player, with strong analytical and organisational skills, and the confidence to query if something doesnt look quite as it should
**We work **35 Hours per week, Monday to Friday.**
**This is a fully remote **role,** **so **youll** need to be c**omfortable working** independently**.**
**Occasional travel to one of our offices may be **required**.**
**Who are Argentis? What do we do?**
-This position is with **Argentis Wealth Management** - an Independent Financial Advice firm, authorised by the Financial Conduct Authority, owned by Hurst Point Group. We have one mission at our core: giving our clients confidence in their finances. We offer a broad range of wealth management and financial planning services to our clients, ranging from large scale investors and companies to individuals and small businesses.
Were looking for talented people to join our teams, to help us achieve our goals and build for the future.
We are committed to equality of opportunity for all, we care passionately about our staff, and are committed to promoting and protecting the physical and mental health of all our employees.
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