Private Client Advice Business Assurance Analyst

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

The Opportunity: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.

OverviewThe Opportunity: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

Your Qualifications:

• 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* 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