Business Assurance Analyst - Private Client Advice

Fisher Asset Management, LLC; Manchester; On-site; GBP 45,000 - 60,000; Full time

Benefits offered by this job

Medical insurance

Dental insurance

Annual health screening

Leave allowance

Maternity pay

Pension plan

Gym subsidy

Employee assistance program

Training & development

Job summary

Fisher Investments Europe is seeking a Business Assurance Analyst to review suitability reports for money purchase pensions, ISAs, GIA, investment bonds, and trusts, ensuring all recommendations are in clients’ best interests and meet internal standards.

The role involves proactive client outreach, providing feedback to writers, and participating in process improvements within a regulatory framework. A strong foundation in financial planning and FCA COBS is essential.

Qualifications

• Graduate or equivalent education/experience
• Strong understanding of pension planning principles
• Strong understanding of FCA COBS requirements for suitability
• Experience reviewing personal recommendations for retail clients

Responsibilities

• Review suitability reports to ensure financial and investment advice meets FCA and internal standards
• Proactively contact internal clients for information and clarifications
• Provide feedback to report writers and respond to follow-up inquiries
• Provide feedback to Training Program Manager on improvements for the advice team
• Discuss process improvements with management and senior management
• Attend roundtable meetings with report writers to discuss themes and improvements

Skills

Financial planning

Pension planning

COBS knowledge

File review

Written communication

Interpersonal skills

Education

Level 4 Diploma in Financial Planning

Level 6 Chartered status

AF3 qualification

G60 PTS qualification

Job description

The PCA group provides regulated financial and investment advice to potential clients and all existing clients in the UK and across Europe. As a Business Assurance Analyst, you will review and assess suitability reports related to money purchase pensions, ISAs, General Investment Accounts, investment bonds (onshore and offshore) and trusts to ensure that all financial and investment advice recommendations are in our clients' best interests and meet internal standards. The Day-to-Day: 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 the Training Program Manager within the PCA group on areas that require further improvement and development in the advice team Discuss possible process improvements with management and senior management Attend roundtable meetings with report writers to discuss themes identified in reviews and suggest areas for improvement

University graduate or equivalent combination of education/experience 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 Explain complex issues in writing and face-to-face Dynamic people skills with the ability to provide an efficient, professional and courteous service to internal clients

Why Fisher Investments Europe: The global Fisher organisation distinguishes itself by putting clients first, providing unmatched service, and taking a personalised approach to investing. You can feel confident knowing that we align with our clients' best interests by using a simple and transparent fee structure and recognised European custodians. It's the people that make the Fisher purpose possible, and to help our employees meet their long-term goals, we offer an array of benefits, including: 100% paid premiums for our top-tier supplemental medical, dental and annual health screening plans for employees and their qualified dependents 28 days annual leave, with the ability to purchase up to 3 additional days per year, plus up to 8 paid holidays Enhanced maternity pay package with 16 weeks' top up to full base pay for eligible employees $10,000

• 100% paid premiums for our top-tier supplemental medical, dental and annual health screening plans for employees and their qualified dependents
• 28 days annual leave, with the ability to purchase up to 3 additional days per year, plus up to 8 paid holidays
• Enhanced maternity pay package with 16 weeks' top up to full base pay for eligible employees
• $10,000
• fertility, hormonal health and family-forming benefit
• A retirement pension plan, featuring a 9% company contribution of base pay with an additional company match of up to 5% of base pay on personal contributions
• Gym subsidy of up to £50 per month
• Employee Assistance Program and other emotional wellbeing services
• A collaborative working environment that practises ongoing training, educational support and employee appreciation events
• Employees residing outside of the US will be eligible for the $10,000 equivalent in their local currency.

FISHER INVESTMENTS EUROPE IS AN EQUAL OPPORTUNITY EMPLOYER