Regulatory Financial Planning Assurance Adviser

St. James'S Place; Gloucester; On-site; GBP 40,000 - 52,000; Full time

Job summary

St. James's Place Gloucestershire seeks a Business Assurance Adviser to review adviser submissions with minimal supervision, focusing on tax, IHT/trust planning and pensions.

You will deliver clear feedback to Partners, boost submission quality, and reduce regulatory risk. Ideally DipFP-qualified or near qualification; permanent role.

Permanent contract in Gloucestershire, United Kingdom.

Qualifications

• Diploma in Regulated Financial Planning OR near qualification.
• Ability to apply technical knowledge and analytical expertise.
• Experience reviewing adviser submissions and assessing regulatory compliance.

Responsibilities

• Review adviser submissions with minimal supervision for accuracy in complex areas such as tax, IHT/trust planning, and pensions.
• Provide clear, actionable feedback to Partners and Wealth Management to improve future submissions and quality.
• Act as a subject matter expert, contributing to projects to reduce regulatory, financial, and reputational risk.
• Identify and escalate emerging trends or issues from case reviews and partner interactions, driving risk mitigation.
• Collaborate with colleagues to foster a supportive, team-driven environment.
• Ideal candidate is near a Level 4 Diploma in Regulated Financial Planning (DipPFS) or close to qualification.

Skills

Analytical thinking

Regulatory knowledge

Attention to detail

Education

Diploma in Regulated Financial Planning OR near qualification

Job description

St. James's Place Gloucestershire seeks a Business Assurance Adviser to review adviser submissions with minimal supervision, focusing on tax, IHT/trust planning and pensions.

You will deliver clear feedback to Partners, boost submission quality, and reduce regulatory risk. Ideally DipFP-qualified or near qualification; permanent role.

Permanent contract in Gloucestershire, United Kingdom.