My client is an extremely successful wealth management practice, with a team of experienced specialist expertise, who provides help to clients to better their financial position.
My client is looking to expand their team and seeking for an experienced, self-motivated, enthusiastic individual to work as an Advice Quality Assurance Supervisor in their Horsham team. Ideal candidates will come from an experienced background in financial services.
Monitoring the assessment of the quality of the personal recommendations being provided to consumers by advisers of the company.
To conduct a detailed assessment of the advice and services being provided to consumer and determine the suitability or otherwise of the personal recommendation.
To ensure a successful implementation of the companies compliance plan.
Asses the quality of compliance with the disclosure rules contained with the documentations making of the consumers advice and service file.
To assist other aspects of the compliance function as required by the Compliance Management.
Ability to provide feedback and prepare action plans for individuals following any advice quality reviews.
Skills / Experience Required:
Chartered Insurance Institute (CII) Certificate in Financial Planning and other Financial Services/ Compliance Qualifications desirable
Experience in regulated financial advice, paraplanning or compliance role within a regulated firm
Working knowledge of COBS/ICOB/MCOB disclosure and suitability rules.
Financial Service product Knowledge and awareness of the rules and regulations relating to Financial Crime Prevention
Good IT Skills
Excellent report writing skills
Ability to meet deadlines
Ability to work independently and as part of a team.
This is an excellent opportunity for an experienced Advice Quality Assurance Supervisor individual to join a successful wealth management practice, and work in a hardworking and professional team. If you think you are a suitable individual with the right skills please get in touch.