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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.
- The main purpose of the role is to provide a file review service
- Delivery of informative and constructive feedback to IFA's 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 communications 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 by 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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