About Us:
Do you have the following skills, experience and drive to succeed in this role Find out below.
MKC Wealth is a trusted financial services provider committed to delivering client-centric, high-quality advice that meets regulatory standards and promotes good outcomes for our clients. As part of our commitment to the FCA’s Consumer Duty, we aim to embed a culture of accountability, transparency, and excellence in everything we do.
Role Overview:
As a Financial Advice Quality Reviewer, you will be at the forefront of ensuring the advice we deliver not only complies with regulatory requirements but also aligns with Consumer Duty principles. This role will involve evaluating the quality, suitability, and outcomes of financial advice, ensuring that every client receives fair value, suitable advice outcomes and excellent service.
Key Responsibilities
1. Consumer Duty & Advice Quality
a. Assess financial advice to ensure it delivers good outcomes for clients, aligns with their needs and circumstances, and adheres to Consumer Duty standards.
b. Evaluate advice processes to confirm they are fair, transparent, and free from conflicts of interest.
c. Identify and escalate potential risks or breaches in Consumer Duty compliance.
2. Quality Assurance & Compliance
a. Conduct in-depth reviews of advice files to ensure compliance with FCA regulations, including suitability, appropriateness, and clear client communication.
b. Verify that product recommendations offer fair value and meet the client’s long-term goals.
3. Outcome Monitoring & Reporting
a. Monitor and assess the effectiveness of advice in delivering positive client outcomes over time.
b. Provide detailed reports highlighting areas of excellence, risks, or improvement opportunities.
4. Advisor Development & Support
a. Deliver constructive, solution-oriented feedback to advisors, focusing on improving the quality of advice and adherence to Consumer Duty standards.
b. Collaborate with training teams to design and implement Consumer Duty-focused training programs for advisors.
5. Continuous Improvement
a. Identify trends or systemic issues that may impact client outcomes, recommending changes to policies, processes, or products as needed.
b. Work closely with compliance, risk, and advisory teams to refine advice frameworks in line with evolving regulations and Consumer Duty guidance.
6. Record Maintenance & Oversight
a. Maintain thorough and accurate documentation of all reviews, findings, and actions taken.
b. Stay up-to-date with regulatory updates, best practices, and Consumer Duty developments.
Skills & Qualifications
Essential:
· Relevant qualifications (e.g., Diploma in Financial Planning, Level 4 Regulated Financial Planning, or equivalent)
· Proven experience in financial advice, compliance, or quality assurance within financial services.
· Comprehensive knowledge of the FCA’s Consumer Duty principles, regulatory requirements, and advice suitability standards.
· Strong analytical skills with a focus on client outcomes and risk management.
· Excellent communication skills to deliver clear, actionable feedback.
· Ability to identify and mitigate risks that could negatively impact clients or the firm.
Desirable:
· Experience with consumer-focused initiatives or embedding Consumer Duty frameworks.
· Familiarity with monitoring tools and outcome testing methodologies.
What We Offer:
· Competitive salary and comprehensive benefits package.
· Ongoing professional development with a focus on Consumer Duty compliance.
· A collaborative and supportive work environment dedicated to client success.
· Flexible working options, including hybrid or remote roles.
How to Apply:
If you are passionate about delivering good outcomes for clients and ensuring advice meets the highest standards, we’d love to hear from you. Please submit your CV and a cover letter detailing your experience and alignment with the role by applying on LinkedIn or by sending an email to careers@mkcwealth.co.uk
MKC Wealth is an equal-opportunity employer.