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SalaryWe are working with a leading Wealth Management client who are looking for a Level 4 Diploma qualified Business Assurance Analyst / Suitability Specialist to join their 1LoD team.
As a Business Assurance Analyst, you will review and assess suitability reports related to pensions, ISAs, investments and trusts to ensure that all financial and investment advice recommendations are in clients' best interests and meet internal and regulatory standards.
Responsibilities:
- Review suitability reports to ensure that any financial and investment advice given to potential and existing clients meet the overarching suitability requirements of the Financial Conduct Authority
- Proactively contact internal clients and seek further information and any necessary clarifications
- Provide feedback to report writers and respond to any follow-up enquiries
- Provide feedback to Management on areas that require further improvement and development in the advice team
- Discuss possible process improvements with management and senior management.
Requirements:
- Level 4 qualified - Diploma in Financial Planning/Regulated Financial Planning
- Level 6/Chartered status would be an advantage, as would AF3/G60 PTS qualification
- Very strong understanding of financial planning principles with a specialism in pension planning
- Very strong understanding of the FCA's COBS requirements for suitability
- Experience in file reviewing personal recommendations for retail clients
This is a London based role, initially 5 days a week in the office, after probation there is flexibility to work from home 1-2 days a week.
