Are you experienced in financial advice and looking for an opportunity to use your technical knowledge in a role focused on advice quality, regulatory standards and good customer outcomes?
True Potential Wealth Management is looking for an Advice Quality Specialist to join our Advice Quality Team. This is an excellent opportunity for someone with a strong understanding of regulated financial advice who enjoys analysing cases, supporting advisers and applying technical knowledge to real-world client recommendations.
With more than 1,100 qualified financial advisers and over 300 colleagues, True Potential Wealth Management is part of the True Potential Group and is regulated by the Financial Conduct Authority.
The role
As an Advice Quality Specialist, you’ll review the suitability and quality of financial advice provided by our advisers, both before and after implementation.
You’ll assess recommendations against clients’ objectives, circumstances and needs, identify potential risks or areas for improvement, and provide clear and constructive feedback to advisers.
You’ll also become a key point of contact for advisers who need guidance on Advice Standards, submission requirements or more complex and unusual cases.
What you’ll be doing
- Reviewing financial advice to assess its quality and suitability
- Assessing recommendations against client objectives, circumstances, needs and relevant risk factors
- Applying True Potential Wealth Management’s Advice Standards and relevant regulatory requirements consistently
- Providing advisers with clear, practical and constructive feedback
- Identifying potential conduct risks and areas that could affect client outcomes
- Escalating breaches, emerging trends and material concerns where appropriate
- Supporting advisers with queries relating to Advice Standards and submission requirements
- Discussing complex or non-standard advice cases and providing guidance on evidencing requirements
- Working closely with Adviser Oversight, Operations, Compliance and other teams across the business
- Helping promote consistent, high-quality advice and positive customer outcomes across our adviser population
What we’re looking for
You’ll need:
- CII R01-R05 or an equivalent qualification
- A good understanding of regulated financial advice
- Strong written and verbal communication skills
- The ability to analyse complex information and make sound, evidence-based judgements
- Excellent attention to detail, with the ability to identify potential risks and inconsistencies
- Strong organisation skills and the ability to manage competing priorities within agreed service standards
- A professional and constructive approach when providing feedback and guidance
It would be great if you also have
- CII Level 4 Diploma in Regulated Financial Planning, or equivalent
- Previous experience within an advice, suitability, file review, quality assurance or compliance environment
- Confidence discussing technical advice matters with financial advisers and other stakeholders
Full training will be provided to the successful candidate.
This role gives you the opportunity to use your financial advice knowledge in a position where you can have a genuine impact on advice standards and customer outcomes.
You’ll work closely with advisers and colleagues across the business, developing your technical knowledge while helping to maintain consistently high standards across a large adviser population.
If you’re analytical, confident communicating with advisers and passionate about delivering good customer outcomes, we’d love to hear from you.
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