Advice Quality Assessor

Financial Advice Quality Assessor

We are working on behalf of a leading financial advisory Company and seeking skilled professionals to join the Advice Quality Team.

The roles seeks a Diploma in Financial Services together with experience of working in Financial Services within a Business Checking, T&CC, Advisor role.

Joining this dynamic team you will be supporting the financial advisors and customers with your knowledge of COBS product and sales processes, COBS regulatory requirements, TCF, Data Protection and Anti Money Laundering. Knowledge of MCOB and ICOB regulatory requirements or Advisor networks would be a distinct advantage.

„« You will be accountable for assessing the suitability of appointed Representatives across COB business lines.
„« You will be accountable for ensuring that your own checking is performed in accordance with all policies and processes and that you also share responsibility for peer review to ensure that all standards are upheld.
„« You will also be responsible for identifying trends and feeding continuous improvement.

The role will include:

„« Reviewing clients files to agreed criteria and appropriate standards
„« Recording the results of the assessments accurately and concisely
„« Achieving the agreed number of advice checks and peer review checks per day
„« Provide consistent support to advisors and supervisors to improve quality
„« Working effectively with the appropriate operations, distribution and compliance teams
„« Ensure SLA’s are achieved
„« Records escalations and trends
„« Produce timely reporting of breaches and rejects.

This role is a critical part of the business process and demands someone with excellent attention to detail, a focused and organised approach, highly analytical and a natural communicator with exceptional written ability and relationship management skills.

The roles are full time permanent positions with an excellent benefits package that includes: 25 days holiday, 4 X annual salary life cover, A Money Purchase Pension scheme with the Company contributing 5% and will match any additional contribution up to a max of 10%
Bonus scheme on Company and personal performance. Additional opt in/paid flexi benefits such as BUPA cover, Health Screening, Dental Cover, Cycle Scheme, Car Parking Scheme, Child Care Vouchers and more.