Financial Advice Quality & Compliance Auditor

Lime People Search & Select Ltd; Newcastle upon Tyne; On-site; GBP 35,000 - 55,000; Full time

Job summary

Lime People Search & Select Ltd is partnering with a UK-based Financial Planning firm to recruit a Business / Quality Assessor who ensures all financial advice cases comply with current requirements.

In this role you will validate Know Your Client information, review reports and suitability letters, and provide constructive feedback to paraplanners and advisers. The ideal candidate has experience in file checking and aims to raise reporting standards across the firm.

Qualifications

• Experience in Financial Advice file checking and quality assessment.
• Proven ability to provide feedback to paraplanners and advisers.
• Knowledge of KYC updates and client file documentation.

Responsibilities

• Assess suitability of financial advice and ensure KYC data is accurate.
• Check that reports and suitability letters meet standards.
• Conduct file checks and remedial file checks; maintain records.
• Provide clear feedback to paraplanners and advisers.
• Support training of paraplanners and file checkers.
• Identify areas for procedural improvements.
• Contribute to team meetings and internal discussions.

Skills

Compliance knowledge

Attention to detail

Report writing

Quality assurance

Stakeholder communication

Education

Level 4 Diploma

AF3 or AF7 qualifications

Job description

Lime People Search & Select Ltd is partnering with a UK-based Financial Planning firm to recruit a Business / Quality Assessor who ensures all financial advice cases comply with current requirements.

In this role you will validate Know Your Client information, review reports and suitability letters, and provide constructive feedback to paraplanners and advisers. The ideal candidate has experience in file checking and aims to raise reporting standards across the firm.