My client is currently looking for experienced file reviewers, or paraplanners who are looking for a change, to conduct advice quality audits both on a pre-submission and post-submission basis.
Responsibilities:
* The main purpose of the role is to provide a file review service
* Delivery of informative and constructive feedback to IFAs following advice quality assessment
* Dealing with day-to-day advice and regulatory queries from other departments, undertaking research, where necessary, in order to provide informed responses
* Providing new business concessions, where necessary ensuring accurate and timely recording
* Assistance with past-business auditing in relation to FCA Thematic Reviews, as directed by Risk and T&C
* Supporting Risk and T&C in the periodic assessment of an adviser's eligibility for CAS
* Providing assistance to the Advice Support Unit, as and when required
* Understanding of the Firm's Advice Guidance in order to maintain and develop knowledge of the firm's approach to providing suitable advice
* Maintaining a good level of knowledge and technical understanding of all financial planning concepts and regulatory focuses through the completion and recording of annual CPD
* Adhering to all requirements of the applicable T&C Scheme, demonstrating the ability to support Customer Care functions where necessary
* Assistance with any departmental function as required
Experience, Knowledge and Qualifications:
* Diploma in Financial Planning as a minimum qualification requirement
* Willingness to take further qualifications, as relevant to your role
* Demonstration of knowledge and experience in personal financial planning
* Experience in an IFA environment
* Good communication skills, with the ability to provide constructive feedback
* A high standard of written and numerical skills
* An ability to demonstrate strong report-writing skills
* A high level of accuracy and attention to detail
* Aptitude in Microsoft Office. Knowledge of Xplan preferred but not essential
* Ability to work with minimal supervision, understanding the importance of meeting deadlines
* To work well within a team environment and to support peers where required
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