My client is looking for a Level 4 qualified Business Quality and Complaints Adviser to assess the quality of advice and adherence to business standards.
Key responsibilities include:
- Undertake client file reviews to determine the suitability of advice against business standards and regulatory requirements, and identify material risks. These reviews are conducted both pre-sale and post-sale.
- Determine compliance with the Conduct of Business requirements, ensuring that Clients are treated fairly.
- Provide clear and effective feedback, including on the remedial action required to mitigate any risks identified.
- Work with advisers to ensure that remedial actions are completed.
- Conduct reviews in a fair and consistent manner, in line with the defined standards for business quality assessments.
- Provide Business Quality training to advisers and paraplanners as required.
- Support the wider business by providing guidance on case and advice related queries.
- Assess complaints in a fair and consistent manner, in line with the FCA’s requirements and company internal policies.
- Assist in training of new advisers and paraplanners and remedial training of advisers where required
- A minimum of 2 years’ experience in Financial Services, in either a Business Quality or Complaints Investigation capacity
- Qualified to Level 4 in a relevant qualification, such as the Diploma in Financial Planning. Those currently studying towards the qualification will be considered, however some relevant examinations must be held.
- Good understanding of retail investment products
- A comprehensive working knowledge of the FCA’s Conduct of Business rules.
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.