Business Assurance Adviser

St. James'S Place; Gloucester; On-site; GBP 40,000 - 52,000; Full time

Job summary

St. James's Place Gloucestershire seeks a Business Assurance Adviser to review adviser submissions with minimal supervision, focusing on tax, IHT/trust planning and pensions.

You will deliver clear feedback to Partners, boost submission quality, and reduce regulatory risk. Ideally DipFP-qualified or near qualification; permanent role.

Permanent contract in Gloucestershire, United Kingdom.

Qualifications

• Diploma in Regulated Financial Planning OR near qualification.
• Ability to apply technical knowledge and analytical expertise.
• Experience reviewing adviser submissions and assessing regulatory compliance.

Responsibilities

• Review adviser submissions with minimal supervision for accuracy in complex areas such as tax, IHT/trust planning, and pensions.
• Provide clear, actionable feedback to Partners and Wealth Management to improve future submissions and quality.
• Act as a subject matter expert, contributing to projects to reduce regulatory, financial, and reputational risk.
• Identify and escalate emerging trends or issues from case reviews and partner interactions, driving risk mitigation.
• Collaborate with colleagues to foster a supportive, team-driven environment.
• Ideal candidate is near a Level 4 Diploma in Regulated Financial Planning (DipPFS) or close to qualification.

Skills

Analytical thinking

Regulatory knowledge

Attention to detail

Education

Diploma in Regulated Financial Planning OR near qualification

Job description

Business Assurance Adviser St. James's Place Gloucestershire, Gloucestershire, United Kingdom

This job is with St. James's Place, an inclusive employer and a member of myGwork – the largest global platform for the LGBTQ+ business community. Please do not contact the recruiter directly.

About you:

We're seeking candidates who hold either a Diploma in Regulated Financial Planning OR are close to qualification, with the ability to demonstrate application of this technical knowledge as well as analytical expertise.

Within this role, you'll undertake suitability assessments across a range of business submitted by our financial advisers (The SJP Partnership) including Alternative and offshore Investments, IHT/trust planning and Pensions.

You'll provide focused feedback and guidance to the SJP Partnership, influencing behaviour and encouraging engagement to ensure adherence to the regulatory and SJP Advice Policy and Compliance frameworks.

What you'll be doing:

• Apply your technical expertise with minimal supervision to review a wide range of advice submissions. Ensure accuracy and strong analysis across complex areas such as tax, critical yield, and affordability assessments.
• Deliver clear, actionable feedback to Partners and the Wealth Management team, addressing gaps in advice or documentation while driving improvements in future submissions and overall quality.
• Act as a subject matter expert, contributing to projects and providing consultation across the business to reduce regulatory, financial, and reputational risk.
• Identify and escalate emerging trends or issues from case reviews and Partner interactions, proactively addressing risks and driving continuous business improvement.
• Collaborate effectively with colleagues, fostering a supportive, team-driven environment.
• Ideally qualified in a level 4 diploma in Diploma in Regulated Financial planning (DipPFS ), or close to qualification.

Permanent