Financial Advice Quality Adviser | FCA Rules & Risk Reviews

Broadgate; West Midlands; Sur place; GBP 45 000 - 65 000; Plein temps

Résumé du poste

Broadgate, a leading UK financial advice network, is seeking a Business Quality Adviser to join its Supervision and Assurance team. You will review advice files to ensure clients achieve good outcomes and support advisers in raising standards.

You will carry out pre- and post-sale reviews across Investments, Pensions, Mortgages and Insurance, assess suitability, affordability, risk and disclosure against FCA rules, and contribute to improvements through feedback and root-cause analysis.

Qualifications

• Experience in quality assurance or paraplanning within a financial advice firm.
• Strong knowledge of FCA rules, Consumer Duty and vulnerable customer guidance
• Level 4 Diploma (DipPFS, DipFA or equivalent)

Responsabilités

• Carry out pre- and post-sale file reviews across Investments, Pensions, Mortgages and Insurance
• Assess suitability, affordability, capacity for loss, risk profiling and disclosure against COBS, MCOB, ICOBS, PROD and Consumer Duty
• Give clear, constructive feedback to advisers and support them in raising standards
• Run root cause analysis on failed or at-risk cases and help improve controls and guidance
• Contribute to thematic reviews (e.g. retirement advice, DB transfers, vulnerable customers)

Description du poste

Broadgate, a leading UK financial advice network, is seeking a Business Quality Adviser to join its Supervision and Assurance team. You will review advice files to ensure clients achieve good outcomes and support advisers in raising standards.

You will carry out pre- and post-sale reviews across Investments, Pensions, Mortgages and Insurance, assess suitability, affordability, risk and disclosure against FCA rules, and contribute to improvements through feedback and root-cause analysis.