Senior Business Assurance Adviser

1 month ago

Cirencester, United Kingdom St. James's Place Full time
Reviewing complex and high value advice cases which may include DB transfers and/or technical project work. Collaborating with Business Risk and Field Management in relation to issues raised from file checking and technical support offered to enable feedback to the Partner. Providing expert feedback, both proactive and reactive, on case content so as to protect the clients for any mis-selling and the Partners and SJP from any financial, regulatory or reputational damage. Acting as technical consultant for Partners, including potentially training in the field an acting as subject matter expert through events in Cirencester. Providing training and mentoring for new members of the team where necessary and in conjunction with the training team, including QA.

Who we’re looking for:

An individual with Level 6 Chartered Financial planner status in regulated Financial Planning along with:

A full understanding of how the BAA role fits in with the business, the end-to-end advice model, wider financial services environment, the compliance framework and steps required to avoid mis-selling. Ability to undertake complex calculations when assessing cases related to Income Tax, Capital Gains Tax, Inheritance Tax, annual lifetime pensions allowances and the analysis of ceding scheme information etc. Ability to suggest improvements to processes to drive continuous improvement within the function and to adapt to changes in process/practice and those changes driven by Regulation. Strong communication and relationship building skills, ability to articulate complex feedback in a way that is understood and accepted. Resilience to setbacks and challenges from the field and ability to manage expectations accordingly.

Special Requirements

There may also be the need to be CF30 registered, and SM & CR certified with the Regulator and the requirement for occasional travel to other sites for the purposes of training/team meetings.-

What's in it for you?

Private Medical - up to family cover paid for by Company– via BUPA.* Meaningful protection benefits with real value, such as 10X life cover, PHI, and critical illness.* Non-Contributory Pension – 10% (increasing with length of service up to 15%) with further pension matching. Parental leave – 6 months full pay 28 days holiday entitlement plus bank holidays (based on full-time equivalent) with the option to buy up to an additional 5 days holiday

*Not applicable to Fixed-Term Contracts (standard uplift applies in lieu of the protection benefits)

Flexible Working
 We know that everyone works best indifferent ways, at different times and in different environments. We haveintroduced a hybrid working policy to provide greater flexibility for part-timework, job-sharing, remote working, and flexibility on hours. Our people areencouraged to work in a flexible way that suits their lifestyle, so please askthe question and start a conversation

Research tells us that applicants(especially those from underrepresented groups) can be put off from applyingfor a role if they do not meet all the criteria or have been on an extendedcareer-break. If you think you would be a good match for this role and candemonstrate some transferable experience please apply, regardless of whetheryou tick every box.

Reasonable Adjustments
We're anequal opportunities employer and want to ensure our recruitment process isaccessible and inclusive for all, if you require reasonable adjustment(s) atany stage please let us know by emailing us at

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