Quality Assurance Officer

  • Job Reference: 00000323-1
  • Date Posted: 10 January 2022
  • Recruiter: Independent Resourcing Consultancy
  • Location: London
  • Remote Working: 100% remote working possible
  • Salary: On Application
  • Sector: Client Services, Compliance, Financial Advisers
  • Job Type: Permanent
  • Contact: Lewis Greene
  • Email: lgreene@ircfs.com

Job Description

IRC is privileged to be working with an international wealth management firm who provides unparalleled personal financial advice to expatriate clients living globally. Our client is a borderless, independent financial advisory consultancy, unrelenting in its commitment to safeguarding clients financial futures. Founded by UK qualified financial advisers, they really offer a fresh approach with a dynamic energy that sets them apart from its competitors in the offshore and UK marketplace.

Job Summary

Primarily a file review role within the UK arm of fast growing international wealth management company. You will join a small compliance team dedicated to delivering good client outcomes through accurate high quality advice reviews. You will be a critical friend to the company, calling out and taking ownerships of individual and systemic advice risks where you find them. The role has great scope for development into various areas of compliance depending on the individuals own areas of interest and business needs.

Responsibilities and Duties

  • Undertake file reviews for retail investment and pension advice files for completeness and suitability, with high numbers of Defined Benefit Transfer advice files
  • Feedback to advisers/paraplanners in a clear, consistent and constructive manner
  • Monitor rework and sign off cases once complete
  • Delivering good client outcomes through accurate high quality advice reviews
  • Able to manage diary and juggle priorities as reviews are mostly Pre-sale at present
  • Spot common errors and take part in root cause analysis
  • Input into the continuous development of the file review framework
  • Potential for expansion into T&C areas of coaching and training and assisting UK Compliance Officer with annual competence assessments

Qualifications and Skills

  • Level 4 Diploma Qualified essential.
  • AF7 or equivalent pension transfer qualification preferred. Working towards will be considered.
  • IFA or network background advantageous
  • Strong technical ability and communication skills
  • Experience of reviewing Defined Benefit Pension Transfer files is essential

Next Steps

Get in touch today to apply for this excellent opportunity and join a firm that will inspire you and your career moving forward.