MERJE are delighted to be partnered with this established Wealth Management firm in London.
Working in a highly collaborative and successful environment, you will be part of a team that provides regulated financial and investment advice to clients in the UK and across Europe. As a Business Assurance Analyst, you will review and assess suitability reports related to pensions, ISAs, General Investment Accounts, investment bonds (onshore and offshore) and trusts.
Responsibilities include:
- Review suitability reports to ensure that any financial and investment advice given to potential and existing clients meet the overarching suitability requirements of the Financial Conduct Authority
- Proactively contact internal clients and seek further information and any necessary clarifications.
- Provide feedback to report writers and respond to any follow-up enquiries.
- Provide feedback to the Training Program Manager on areas that require further improvement and development in the advice team.
- Discuss possible process improvements with management and senior management.
- Attend roundtable meetings with report writers to discuss themes identified in reviews and suggest areas for improvement.
Ideal candidate:
- Level 4 qualified – Diploma in Financial Planning/Regulated Financial Planning
- Very strong understanding of the FCA's COBS requirements for suitability
- Prior experience in file reviewing personal recommendations for retail clients
- Very strong understanding of financial planning principles with a specialism in pension planning
- Able to clearly explain complex issues in writing and face-to-face.
Dynamic people skills with the ability to provide an efficient, professional and courteous service to internal clients