Business Quality Adviser

Compliance Analyst - Manchester, North West England

Ref: 787Monday 15 August 2022

£35,000 - £40,000

The UKs Leading IFA firm is looking to hire a Business Quality Adviser to join their Legal and Regulatory team. You will assess the quality of advice and adherence to Chase de Vere business standards and regulatory requirements and identify material risks to clients and the business.

In addition, you will provide feedback to advisers and the management teams on any risks identified and provide consultative steps to both manage and mitigate these risks.

You will  carry out client file reviews

Provide effective feedback and direction of the remedial action required to manage or mitigate the material risks identified.

To ensure that all reviews are completed in a fair and consistency manner in line with the defined standards for business quality assessments.

To record and maintain appropriate records for all files or transactions reviewed that will be sufficiently robust for both internal and external audit purposes.

To provide timely and accurate management information when required to support the Business Quality and Complaints Manager’s reporting obligations.

Assist in providing Business Quality training to Advisers and Paraplanners as required.

 

To be considered:

Experience gained in an IFA firm as a business quality assessment/review expert

Experience in providing clear and detailed feedback and guidance

Financial Planning Certificates 1, 2 & 3 or Diploma in Financial Planning / Level 4 Qualified (or progress towards) with emphasis on the exams relating to personal financial planning

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