Private Client Advice Analyst — Assurance & Compliance

Fisher Investments UK; Greater London; On-site; GBP 50,000 - 70,000; Full time

Benefits offered by this job

Medical and dental coverage for you &

28 days annual leave (plus extra)

Enhanced maternity pay

Fertility and family-forming benefits

Pension plan with company match

Gym subsidy

Employee wellbeing program

Career development and training

Job summary

Fisher Investments Europe is seeking a Business Assurance Analyst in the UK to review suitability reports for pensions, ISAs, GIA, investment bonds and trusts, ensuring all advice aligns with clients' best interests and internal standards.

The role involves proactive communication with internal clients, feedback to report writers, and contributing to process improvements, backed by strong knowledge of financial planning and FCA COBS requirements.

Qualifications

• Very strong understanding of financial planning principles with a specialism in pension planning.
• Strong grasp of the FCA's COBS requirements for suitability.
• Experience in reviewing personal recommendations for retail clients.
• Ability to explain complex issues in writing and face-to-face.

Responsibilities

• Review suitability reports to ensure financial advice meets FCA suitability requirements.
• Proactively contact internal clients for information and clarifications.
• Provide feedback to report writers and respond to follow-up enquiries.
• Offer input to Training Program Manager on areas for improvement in the advice team.
• Discuss potential process improvements with management and attend roundtable meetings.

Skills

Financial planning principles

FCA COBS knowledge

Report writing clarity

Client-facing communication

Education

Level 4 Diploma in Financial Planning/Regulated Financial Planning

Level 6/Chartered status (advantage)

Job description

Fisher Investments Europe is seeking a Business Assurance Analyst in the UK to review suitability reports for pensions, ISAs, GIA, investment bonds and trusts, ensuring all advice aligns with clients' best interests and internal standards.

The role involves proactive communication with internal clients, feedback to report writers, and contributing to process improvements, backed by strong knowledge of financial planning and FCA COBS requirements.