Job Description

You will be responsible for reviewing an appropriate number of pre and post advice files in line with the firms’ training and competence scheme and provide constructive feedback to the advice teams. This role is ideal for someone who has previously worked in a similar role and has experience working with financial services.

Key Responsibilities

• Review an appropriate number of pre- and post-advice files in line with the companies’ training and competence scheme and provide constructive feedback to the advice teams.
• Follow up missing information and remedial action from advice teams within agreed timescales.
• Identify key areas for development in the advice teams from file reviews and recommend training to address any knowledge and skills shortfalls to the T&C supervisors.
• Assist with complaint investigations and liaise with the Financial Ombudsman Service as and when required.
• Provide additional technical and regulatory support to advice teams where needed on the provision of advice.
• Maintain awareness of Regulatory developments which may have an impact on the business, and file quality.
• Administration & Reporting
• Undertake any projects relating to the role or Risk and Compliance Team as necessary.
• Comply with compliance procedures, TCF, Data Protection and FCA Regulations at all times to ensure regulatory requirements and company policies are not breached

Required Knowledge, Skills, and Abilities

• Experience of the Intelligent Office (IO) back office system
• Experience of cash flow modelling
• Good technical knowledge with minimum qualification of DipPFS or equivalent
• Good working knowledge of FCA Principles and conduct of business rules
• Good understanding of the Financial Planning process
• Strong interpersonal skills, both written and oral communication
• Excellent accuracy and attention to detail
• Working toward APFS or equivalent
• Good research and report writing skills