Advice Quality Assessor

Are you L4 qualified and have a background in reviewing, grading, and giving feedback on advice provided by Financial Planners across a range of product types?

Davies Talent Solutions are working with a Wealth Management firm who are looking for an Advice Quality Assessor to join their team on a permanent basis.

What is on offer?

• £45,000 - £50,000 per annum
• Hybrid Working (3-days per week in the Bristol office)
• 26 days holiday plus bank holidays
• Work anywhere for up to 4-weeks

What will you be doing as a Advice Quality Assessor?

• Providing quality assurance over the advice provided by the firms Financial Planners
• Conducting suitability assessments across a range of different product types (e.g. Pensions, Investments, High Risk products)
• Reviewing and grading the quality of client files and providing concise feedback in a timely manner
• Supporting Financial Planners to improve the quality of advice and provide assurance to the firm
• Communicating and/or escalating remedial work to Planners and raise training needs to the T&C Team
• Preventing foreseeable harm to clients in line with the requirements of Consumer Duty.

What do we need from you?

• RQF Level 4 in Financial Services (bonus points if you are chartered)
• Prior experience performing a similar quality/file reviewing role
• Working within a Wealth Management firm with involvement in communicating regulatory change and internal processes or compliance monitoring
• CII Award in Regulated Pension Transfer Advice or working towards is preferred.