Advice Quality Manager

Fidelity International; Tadworth; On-site; GBP 42,000 - 60,000; Full time

Job summary

Fidelity International in Tadworth is seeking a Quality Monitoring professional to verify advice quality and adherence to regulatory standards. You will observe adviser meetings, review pre- and post-sale guidance, and ensure suitability for clients across ISAs, pensions and retirement planning products.

The role requires a Diploma in Regulated Financial Planning or equivalent, ongoing CPD, and strong pensions knowledge.

Qualifications

• Diploma in Regulated Financial Planning or equivalent (E).
• Current CPD record (E).
• Technical expertise in pensions and retirement planning (E), ideally including safeguarded pension benefits and complex retirement advice (D).
• Broad knowledge of holistic financial planning (E).

Responsibilities

• Check pre- and post-sale advice and carry out observations of adviser/client meetings to ensure clients are given suitable advice which meets their objectives, following internal processes and regulatory requirements.
• Ensure compliance with legal and regulatory disclosure requirements.
• Familiar with ISAs, Investment Accounts, pensions and retirement planning products such as annuities.
• Work with Fidelity products and a limited range of Fidelity funds.

Education

Diploma in Regulated Financial Planning or equivalent

Current CPD record

Technical expertise in pensions and retirement planning

Broad knowledge of holistic financial planning

Tools

Intelligent Office

Job description

We're proud to have been helping our clients build better financial futures for over 50 years. How have we achieved this? By working together - and supporting each other - all over the world. So, join our team and feel like you're part of something bigger.

We are proud of our inclusive culture and encourage applications from the widest mix of talent, whatever your age, gender, ethnicity, sexual orientation, gender identity, social background and more. As a flexible employer, we trust our people to perform their role in the way that works best for them, our clients and our business. We are a disability-friendly company and would welcome a conversation with you if you feel you might benefit from any reasonable adjustments to perform to the best of your ability during the recruitment process and beyond.

About your team

The work of the Quality Monitoring (QM) team is vital to ensure the regulated advice provided to our clients is of the highest quality, in terms of suitability, accuracy and adherence to legal and regulatory requirements.

About your role

Following our prescribed processes, the team check both pre-and post-sale advice and carry out observations of adviser/client meetings to ensure clients are given suitable advice which meets their objectives, following our internal processes and meeting legal and regulatory disclosure requirements. The team offers a wide range of advice, restricted to Fidelity products and a limited range of Fidelity funds, so the team needs to be familiar with ISAs, Investment Accounts, pensions and retirement income planning products such as annuities, and the tax and financial planning considerations for each.

• Diploma in Regulated Financial Planning or equivalent (E)
• Current CPD record (E)
• Technical expertise in pensions and retirement planning (E), ideally including safeguarded pension benefits and complex retirement advice (D)
• Broad knowledge of holistic financial planning (E)

Desirable attributes

• Advanced Diploma and/or Pension Transfer Specialist qualification (D)
• Technical understanding of safeguarded pension benefit transfers, complex retirement advice and pension switching (D)
• Experience of working in a regulated environment/knowledge of FCA rules in relation to regulated financial advice (D)
• Intelligent Office experience (D)

For starters, we'll offer you a comprehensive benefits package. We'll value your wellbeing and support your development. And we'll be as flexible as we can about where and when you work - finding a balance that works for all of us. It's all part of our commitment to making you feel motivated by the work you do and happy to be part of our team. For more about our work, our approach to dynamic working and how you could build your future here, visit careers.fidelityinternational.com.