Compliance Advice Quality - Wealth Management (Bristol)

You want to be at a growth firm where you are recognised for what you personally bring to the table. This is a great opportunity to work in a positive team that is welcomed by the business in helping us achieve client excellence (that's right we value the Quality team!)

About the role

Undertake file reviews to ensure the business is providing the highest standards of advice to our clients in line with internal policies and FCA requirements. You will add value in helping us live to our client centric values.

Working in a small team environment you are expected to make an impact and engage with stakeholders in the business and Compliance in supporting the development of advice quality.

Accountabilities

• Provide quality assurance over the advice provided by the Financial Planners.
• Conduct suitability assessments across a range of different product types (e.g. Pensions, Investments, High Risk products).
• Review and grade the quality of client files across all product areas and provide concise feedback in a timely manner.
• Support Financial Planners improving the quality of advice and providing assurance to the firm we are best in class.
• Communicate and/or escalate remedial work to Planners and raise training needs to the T&C Team.
• Prevent foreseeable harm to clients in line with the requirements of Consumer Duty.
• Work with the Advice Quality team to drive a consistent level of advice quality.
• Ensure you complete any reporting requirements in a timely manner to support the business in overseeing and assuring the quality of the advice given.
• Involvement in ad-hoc project work or process improvements (we love people who bring ideas to the table).

Skills and Experience

• RQF Level 4 in Financial Services (bonus points if you are chartered).
• Prior experience performing a similar quality/file reviewing role.
• Working within a Restricted Wealth Management firm with involvement in communicating regulatory change and internal processes or compliance monitoring.
• Experience working with a CRM (ours is XPLAN, all training provided).
• CII Award in Regulated Pension Transfer Advice or working towards is preferred.
• Equity Release and Long Term Care exams are desirable.
• Product knowledge across all advice areas
• Knowledge of regulations applying to advisory businesses (e.g. Consumer Duty)
• Experience checking cases or compliance monitoring is preferred.
• A believer that feedback assists improvements and protects our clients.
• Comfortable working independently, but like having a close team that supports each other in delivery.
• Comfortable with Excel and tech literate (we use a decent suite of cloud based drives etc…).
• Expert attention to detail.

Benefits

• Pension - 6% employer and 3% employee
• 25 days holiday plus bank holidays
• Private medical insurance
• 4 x Life Assurance
• Group income protection
• Working anywhere for up to 4 weeks

The above is a guide and not exhaustive. We work in an agile way and you might be involved in lots of different tasks or projects whilst working for us.