Advice Quality Assessor

Quality Assessor

Ref: 1099Tuesday 9 November 2021

£45,000 per annum plus discretionary bonus, company pension

Amour Recruitment is delighted to be working with a leading Financial Services provider based in the Temple Meads area, who are looking to add an Advice Quality Assessor to their Advice Quality team on a permanent basis. Successful candidates will monitor the advice given by team members to ensure adherence with the principles and rules of the FCA, promoting TCF and reducing the risks that the business will be used for the purposes of Financial Crime.

You will also provide support to the Advice Quality Team Leader in developing and enhancing the department's profile within the wider business.

 

The Role:

  • To undertake compliance audit work, including regular and ad-hoc reviews of client files, suitability letters and investment reports
  • To provide feedback and guidance to Wealth Planners, Paraplanners and Administrators regarding particular issues to ensure adherence to standards and regulatory requirements
  • To highlight trends and concerns and raise them to the Advice Quality Team Leader and Head of Advice
  • To address and to advise upon general compliance queries when they arise
  • To liaise with compliance consultants where necessary
  • To assist the Head of Advice and Advice Quality Team Leader in department projects. Including planning, overseeing, coordinating, executing, reporting on and recording project outcomes.
  • To provide MI regarding the compliance monitoring function

 

Our Ideal Candidate:

  • Full Financial Diploma qualified (ideally chartered status or working towards)
  • AF3 (of equivalent qualification) essential
  • Compliance / file checking experience
  • Up to date knowledge of relevant regulatory updates
  • Good decision making skills
  • A confident communicator, comfortable liaising with people at all levels of the business

 

This role will be based at our client's lovely offices based in Central Bristol (walkable from Temple Meads) and pays £45,000-£50,000 dependent upon experience.

Benefits include discretionary annual bonus, private medical insurance several excellent voluntary benefits.


Don't worry if you don't tick all of the boxes above, we welcome applications from all candidates regardless of background or experience level. If you're looking for a new opportunity, one of our experienced consultants will be happy to have a confidential conversation with you and give you more details on this or any of our other vacancies with our ever-growing list of clients!