Business Quality Adviser

3 days ago

Salford, United Kingdom Financial Careers Ltd Full time

**Business Quality Adviser**

Our client is a major IFA company, with offices based nationwide. They are now looking for an experienced Business Quality Adviser, to be based at their office in Manchester.

**The role is a temporary one for 12 months, covering maternity leave. However, there is a possibility it could be made permanent in due course.**

**Job Purpose**:

- To conduct business quality reviews in accordance with the company risk-based business quality monitoring programme.
- Assess the quality of advice and adherence to company business standards and regulatory requirements, and identify material risks to clients and the company.
- Provide feedback to advisers and sales management on the risks identified, together with the actions necessary to manage or mitigate the risks.
- Assist in training of new advisers and paraplanners and remedial training of advisers where required.
- Assist in ad hoc projects related to business quality.

**Key Accountabilities**:

- Conduct client file reviews, on both a pre-and post-sale basis, to determine whether it meets the requirements of the company, and is compliant with relevant regulations.
- To provide effective, constructive feedback and determine and communicate the remedial action required to manage or mitigate the material risks identified.
- To ensure that the remedial actions are completed to a successful conclusion.
- To record and maintain appropriate records for all files or transactions reviewed, that would be sufficiently robust for both internal and external audit purposes.
- To provide timely and accurate management information when required.
- Provide training to advisers and paraplanners, as required.
- Liaise with, and provide assistance to, other areas of the business in relation to case and advice-related queries.

**Knowledge, Skills and Experience**:

- Communicating effectively with stakeholders.
- Providing clear, constructive feedback.
- Effective time management, including prioritising work and meeting deadlines.
- Decision-making, using evidence to form a view and communicate rationale.
- **Obtained or be working towards relevant Level 4 qualification, e.g. Diploma in Financial Planning.**:

- Basic knowledge of FCA requirements.
- Knowledge of basic retail investment products.
- **Industry experience in a relevant role in an FCA-authorised financial services firm.**:

- Previous experience as paraplanner or adviser preferred, however not essential.

**The salary on offer is £37000, with a range of other benefits.

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