Based in Bristol; a wealth management firm is looking for a File Checker / Case Auditor.
About The Company
The company is a leading provider of wealth and investment management services to private clients, professional advisers, charities, corporates and institutions. Combined, they manage almost £9 billion of client assets from 13 offices across the UK, employing c.500 professionals.
The firm provides a range of financial products and services to over 10 million clients globally and is listed on the Johannesburg Stock Exchange. They have attained size, strength and reputation by providing a high quality, personalised service to clients, whatever their stage of life or financial ambitions.
About The role
Your role will be to monitor the advice given by the Wealth Planners to ensure that the advice, investment reports and suitability letters issued by the business are in-line with the company standards and FCA regulations.
Once a case has progressed through the Paraplanning division; you will be responsible for assessing and grading the quality of the file and providing effective and concise feedback in a timely manner.
As a pre-sales role; it is vital that the advice/products that are to be recommended are suitable; ensuring that any inconsistencies / issues are spotted and raised.
The core of the role is reviewing the quality of client files across the 4 core planning areas of pensions, Investments, mortgages and protection.
The role will also give you the opportunity to provide support to the Head of Advice Delivery with a range of process improvements within the department.
Skills & Experiance
Successful candidates are likely to demonstrate the following:
- Level 4 qualification (or within 1-2 exams from completing)
- Background in File checking, Paraplanning or Wealth Planning
- Up to date knowledge of relevant regulatory updates
- Strong decision making skills
- Ethical, principled, logical, analytical and diligent.
- Ability to influence
- Well organised, self-motivated and proactive.
- Good communication skills, both written and verbal.