Wealth Compliance & Suitability Analyst

MERJE; Greater London; On-site; GBP 40,000 - 60,000; Full time

Job summary

A reputable Wealth Management firm in Greater London seeks a Business Assurance Analyst to review suitability reports for compliance with FCA regulations. The ideal candidate will hold a Level 4 qualification in Financial Planning and have experience in file reviewing for retail clients. Strong communication skills and an understanding of financial planning principles, particularly pension planning, are essential. This is a collaborative role requiring feedback and process improvement discussions with report writers and management.

Qualifications

• Level 4 qualified with a Diploma in Financial Planning.
• Strong understanding of FCA's suitability requirements.
• Experience in reviewing personal recommendations.

Responsibilities

• Review suitability reports for compliance with FCA requirements.
• Communicate with internal clients to gather necessary information.
• Provide constructive feedback to report writers.

Skills

Understanding of FCA's COBS requirements

Financial planning principles

File reviewing experience

Effective communication skills

Dynamic people skills

Education

Level 4 qualified – Diploma in Financial Planning

Job description

A reputable Wealth Management firm in Greater London seeks a Business Assurance Analyst to review suitability reports for compliance with FCA regulations. The ideal candidate will hold a Level 4 qualification in Financial Planning and have experience in file reviewing for retail clients. Strong communication skills and an understanding of financial planning principles, particularly pension planning, are essential. This is a collaborative role requiring feedback and process improvement discussions with report writers and management.