Business Quality Adviser
Being one of the country’s top independent financial advisers is no mean feat and our independence is key to everything we do. We believe staunchly that the best advice for our clients is independent financial advice.
We are looking to recruit a Business Quality Adviser to join our Legal and Regulatory team whose focus will be to safeguard Chase de Vere, our clients and our colleagues by ensuring we continue to be compliant with all industry regulations.
This role holder will assess the quality of advice and adherence to Chase de Vere business standards and regulatory requirements and identify material risks to clients and the business.
In addition, you will provide feedback to advisers and the management teams on any risks identified and provide consultative steps to both manage and mitigate these risks.
Collaboration is key within Chase de Vere and therefore the successful Business Quality Adviser will also assist in the training of new advisers, paraplanners and get involved in remedial training where appropriate.
• To carry out client file reviews to determine whether the suitability of advice against CdV’s business standards and regulatory requirements and identify material risks.
• To determine compliance with the Conduct of Business requirements and ensure that CdV client’s have been treated fairly.
• To provide effective feedback and direction of the remedial action required to manage or mitigate the material risks identified.
• To ensure that the remedial actions are addressed through to a successful conclusion.
• To ensure that all reviews are completed in a fair and consistency manner in line with the defined standards for business quality assessments.
• To record and maintain appropriate records for all files or transactions reviewed that will be sufficiently robust for both internal and external audit purposes.
• To provide timely and accurate management information when required to support the Business Quality and Complaints Manager’s reporting obligations.
• Assist in providing Business Quality training to Advisers and Paraplanners as required.
• As and when the business requires, as the Business Quality and Complaints Teams skills are largely interchangeable, and as such the role may include assisting in the assessing and handling of Complaints as per the Complaints Investigator Role Profile.
• A minimum of 2 years experience in a business quality assessment/review
• Experience in providing clear and detailed feedback and guidance
• Previous experience as an Adviser preferable
• Financial Planning Certificates 1, 2 & 3
• Diploma in Financial Planning / Level 4 Qualified (or progress towards) with emphasis on the exams relating to personal financial planning
• Good understanding of retail investment products
• A comprehensive working knowledge of the FCA’s Conduct of Business rules
• Ability to extract and identify issues of potential risk
• Be Reliable
• Think Independently
• Create Confidence
Please select a location