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Business Quality Reviewer - Home Based
Location: Home-Based, with occasional travelSalary: Up to £46,000Benefits: Competitive package including private medical cover, pension, and income protection
A leading independent financial advice firm is seeking an experienced Business Quality Reviewer to join its compliance and risk team. This role plays a critical part in ensuring the firm's high regulatory standards and robust risk management framework are maintained.
This is a home-based role with occasional travel required to company offices as needed.
The Role
As a Business Quality Reviewer, you will be responsible for assessing and reviewing financial advice files to ensure regulatory compliance and best practice standards. You will work closely with Financial Advisers and Paraplanners, providing clear and constructive feedback, while supporting continuous improvements in compliance processes.
Key Responsibilities:
- Conduct file reviews to assess suitability and compliance with regulatory standards.
- Ensure Know Your Client (KYC) and client documentation meets compliance requirements.
- Provide verbal and written feedback to Financial Advisers and Paraplanners, supporting improvements in advice quality.
- Monitor and meet Key Performance Indicators (KPIs) related to compliance and quality assurance.
- Assist with thematic reviews and compliance projects to improve operational efficiency.
- Identify and escalate trends, risks, or areas of concern to senior compliance teams.
- Support a risk-aware culture, helping to maintain a proactive approach to compliance.
What We’re Looking For:
- Strong knowledge of the UK financial services industry, including independent financial advice.
- Experience reviewing financial advice files for suitability and compliance.
- Ability to provide clear, constructive feedback to advisers and support staff.
- Level 4 Diploma in Financial Planning (desirable).
- Strong attention to detail and problem-solving skills.
- Experience working with multiple systems and databases.
- Proficiency in Microsoft Office, including Word, Excel, and Outlook.
The Package & Benefits:
- Salary: Up to £46,000
- 35-hour workweek, with flexibility where required
- 25 days’ holiday, increasing to 26 after 3 years, 27 after 4 years, and 28 after 5 years
- Additional Christmas to New Year holiday closure as extra leave
- Group pension scheme - 5% employee contribution, 7% employer contribution
- Death in service cover - 4x salary
- Private Medical Cover, including dental and optical cover
- Critical Illness Cover - up to £10,000
- Group Income Protection - providing up to 75% of salary in the event of sickness beyond 26 weeks
This is an excellent opportunity for a compliance-focused professional looking to join a highly regarded financial services firm that values regulatory excellence and employee development.
