Financial Advice Assessor , Quality Assurance & File Review , Pensions

The Client

A well-established Wealth Management firm.

The Role

This is a fantastic opportunity for to join a highly credible Wealth Management company working in their Newcastle office. The Financial Advice Assessor will be Level 4 Qualified undertake file reviews to make sure the Wealth Management firm is providing a high quality level of advice in line with internal policies and FCA requirements.

The Financial Advice Assessor will work alongside a small team and engage with key stakeholders in the business and compliance in supporting the development of the Wealth Management firms advice quality.

The Financial Advice Assessor is to carry out suitability assessments on a range of products such as Pensions, Investments and High Risk products.

The Financial Advice Assessor will review and grade the quality on all product areas providing clear feedback in a timely manner.

The Financial Advice Assessor is expected to support Financial Planners whilst improving on their level of advice and building on moral within the firm.

The Financial Advice Assessor will communicate and escalate when necessary to Planners and raise training needs where appropriate to the T&C Team.

The Financial Advice Assessor will avert foreseeable harm to clients in line with the requirements of Consumer Duty, whilst working alongside the Advice Quality team to ensure a consistent level of advice quality.

The Financial Advice Assessor will ensure any reporting requirements are completed in a timely manner, as well as bringing ideas to the table to improve work projects and processes.

The Candidate

Level 4 compliant (Financial Planning Diploma or IAD) in Financial Services

Must have experience performing a similar quality/file reviewing, Quality Assurance, Suitability or T&C role.

Knowledge of Pension transfers, investment advice from a Financial Planning perspective.

CII Award in Regulated Pension Transfer Advice or working towards is preferred.

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