My client is currently looking for experienced file reviewers, or paraplanners who are looking for a change, to conduct advice quality audits both on a pre-submission and post-submission basis.

• The main purpose of the role is to provide a file review service
• Delivery of informative and constructive feedback to IFA's following advice quality assessment
• Dealing with day-to-day advice and regulatory queries from other departments, undertaking research, where necessary, in order to provide informed responses
• Providing new business concessions, where necessary ensuring accurate and timely recording
• Assistance with past-business auditing in relation to FCA Thematic Reviews, as directed by Risk and T&C
• Supporting Risk and T&C in the periodic assessment of an adviser's eligibility for CAS
• Providing assistance to the Advice Support Unit, as and when required
• Understanding of the Firm's Advice Guidance in order to maintain and develop knowledge of the firm's approach to providing suitable advice
• Maintaining a good level of knowledge and technical understanding of all financial planning concepts and regulatory focuses through the completion and recording of annual CPD
• Adhering to all requirements of the applicable T&C Scheme, demonstrating the ability to support Customer Care functions where necessary
• Assistance with any departmental function as required

Experience, knowledge and qualifications:

• Diploma in Financial Planning as a minimum qualification requirement
• Willingness to take further qualifications, as relevant to your role
• Demonstration of knowledge and experience in personal financial planning
• Experience in an IFA environment
• Good communications skills, with the ability to provide constructive feedback
• A high standard of written and numerical skills
• An ability to demonstrate strong report-writing skills
• A high level of accuracy and attention to detail
• Aptitude in Microsoft Office. Knowledge of Xplan preferred by not essential
• Ability to work with minimal supervision, understanding the importance of meeting deadlines
• To work well within a team environment and to support peers where required

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