Why This Role?
Join our team as a Business Assurance Specialist and be a key contributor in ensuring regulatory excellence and compliance within our advisory operations. You'll have a chance to work on a range of assurance activities, play a role in shaping core processes, and collaborate with financial planners to uphold high-quality advisory standards. This position is ideal for those who are motivated by integrity, accountability, and the opportunity to shape future standards in financial planning.
Key Responsibilities
* Drive Regulatory Assurance and Compliance: Support core compliance activities and regulatory risk control through meticulous review and assessment of advisory practices.
* Contribute to Process Improvements: Help design and refine essential assurance processes, working in a newly established team with room for innovative contributions.
* Collaborate and Provide Constructive Feedback: Engage constructively with financial planners to ensure advice meets all regulatory expectations, promoting "right first time" standards.
* Support Remediation Efforts: Participate in remediation cases when needed, contributing to our commitment to positive client outcomes.
* Conduct business assurance checks and reviews in alignment with the company's standards and processes.
* Manage assurance activities to meet specified timescales and provide timely feedback to financial planners.
* Collaborate constructively with planners and Paraplanners on case reviews, maintaining an impartial stance while promoting regulatory compliance.
* Participate in remediation efforts where customer impact is identified, supporting solutions that prioritise client welfare.
* Escalate issues as needed to ensure regulatory requirements and internal policies are followed.
* Maintain records of review outcomes and ensure internal systems reflect the status of assurance activities.
* Continuously update your knowledge and embed learnings from QA and upskilling initiatives to support regulatory best practices.
About You
Our ideal candidate brings experience in financial services, with solid knowledge of financial planning, advisory regulations, and a strong analytical mindset. If you're a proactive communicator with a professional approach and excel under pressure, this role offers a fantastic opportunity to grow your career in a values-driven, collaborative team environment.
Qualifications & Experience:
* Financial services experience with knowledge of advisory standards and regulations, including RDR, MIFID II, and Consumer Duty.
* Proficient in Microsoft Excel, Word, and PowerPoint, with familiarity in systems like Xplan and Worksmart.
* Diploma Level 4 Qualified (preferred: AF3 Pension Transfers, CF6, ER1, and CF8 or equivalent).
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