Advice Quality Specialist

4 months ago

Liverpool, United Kingdom Evelyn Partners Full time

**Company Description**:
Evelyn Partners is the UK’s leading integrated wealth management and professional services group, with over 186 years of experience in helping generations of people and businesses to thrive. We offer an extensive range of financial and professional services to individuals, family trusts, professional intermediaries, charities and businesses.

We provide an award-winning service for our clients by employing the best people. Join us on our mission to place the power of good advice into more hands because we believe that everyone deserves access to good advice, regardless of where they’re at in their financial journey.

An exceptional track record of growth and innovation is driven by our core values of: _Personal, _offering advice based on a true understanding of what matters to our clients; _Partnership_, working with our clients in a joined-up, collaborative way; and _Performance_, demonstrating a breadth and depth of advice expertise to deliver first-class results.

**Job Purpose**

The Advice Quality team reports up to the Head of Financial Services Oversight and provides and independent/line 1b file review function. The AQ Specialist will be responsible for conducting pre and post-sale file reviews to ensure compliance with internal standards and regulatory requirements. Provide support to the business on suitability-related issues.

Key Responsibilities
- Conduct pre-sale file reviews on higher risk advice files within 3-day SLA. Focus being on suitability of advice and client outcomes.
- Conduct post-sale file reviews to help with thematic reviews, acquisitions/ integrations, internal investigations and to ensure that minimum oversight standards have been applied to all advisers.
- Maintain detailed records of reviews conducted and review outcomes.
- Provide a summary of findings and discuss the outcomes of file reviews with T&C supervisors, advisers and para planners.
- Provide general feedback and coaching to para planners and financial advisers on suitability related topics.
- Work with para planners, advisers, compliance, and technical team to resolve issues in advice files and reports prior to issue.

**Key Skills and Experience**
- Sound judgement and decision-making skills
- Must keep up to date with industry and regulatory developments
- IT literate and able to use MS office and associated software

**Key Competencies**
- Attention to detail and control mind set

Ability and willingness to provide challenge in a professional manner
- Ability to work autonomously and manage workload within defined SLAs
- Ability to communicate well and to provide constructive feedback

**Consumer Duty**

Understand and maintain awareness of your responsibility in relation to the Consumer Duty rules and expectations. Take personal ownership for your actions and be an advocate of Consumer Duty to ensure we deliver good outcomes to our customers, in particular, in relation to the expected Consumer Duty outcomes:
Products and Services

Products and services are fit for purpose

Price and Value

Price the customer pays for a product or service is reasonable compared to the overall benefits

Consumer Understanding

Customers are given the information they need, at the right time, and presented in a way they can understand

Consumer Support

Enable our customers to realize the benefits of the products or service they buy, pursue their financial objectives, and act in their own interests.

**Qualifications**:
Minimum Level 4 DipPFS

Ideally Level 6 Chartered Financial Planner

Ideally AF3/AF7/G60 qualification to enable review of DB transfer work

**Additional Information**:
**As a colleague here at Evelyn Partners, you will have access to benefits that include**:

- Competitive salary
- Private medical insurance
- Life assurance
- Pension contribution
- Hybrid working model (role dependant)
- Generous holiday package
- Option to purchase additional holiday
- Shared parental leave

We are proud to value the differences that a diverse workforce brings, representative of society and our clients. At Evelyn Partners we have a wide range of highly active employee resource groups and we’re delivering multiple diversity, equity and inclusion initiatives across the organisation. It is our commitment to provide a workspace where all colleagues, regardless of identity, background, or circumstance, feel respected as individuals and feel that they can achieve their full potential and work in a safe, supportive, and inclusive environment.

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