Private Client Advice Business Assurance Analyst

Lawson Chase ,
London, Greater London
More Details
Job Type: Full-time

Overview

Seeking: Private Client Advice Business Assurance Analyst to join a leading investment management firm in London. The Role The client advice service, offered by the firm, includes retirement planning (pre and post), pension switches/transfers, cash flow planning, taxation and Inheritance Tax (IHT) planning as well as asset allocation recommendations. Candidates will be skilled in reviewing and assessing suitability reports primarily related to money purchase pensions, ISAs, General Investment Accounts, investment bonds (onshore and offshore) and trusts. The role offers an exciting opportunity to establish an internal business assurance team and help ensure that clients continue to receive a first class service and appropriate financial and investment advice. Key Responsibilities 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. Work with Line 2, Compliance and Risk, to ensure that the business assurance framework created, for the assessment of suitability, aligns to internal standards and the firm’s advice framework Design and implement management information to allow the PCA group to measure and report to relevant management committees on the ongoing standards of advice within the firm Provide feedback to the Training Program Manager within the PCA group on areas that require further improvement and development in the advice team Skills & Experience University graduate or equivalent combination of education/experience Level 4 qualified – Diploma in Financial Planning/Regulated Financial Planning Level 6/Chartered status would be an advantage, as would AF3/G60 PTS qualification Very strong understanding of financial planning principles with a specialism in pension planning Very strong understanding of the FCA’s COBS requirements for suitability Prior experience in file reviewing personal recommendations for retail clients Extremely attentive to detail

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