Advice Quality Specialist - 9 Month FTC – Flexible location
Core
Review suitability reports and client files against FCA requirements and internal standards to ensure high-quality financial planning advice and good client outcomes.
Role type
Financial advice quality assurance specialist
Builds
Insights to improve advice standards and reduce recurring file quality errors
Domain
Financial services / Regulatory compliance
Deliverable
dashboards & analysis
Required skills
Level 4 Diploma in Regulated Financial Planning, suitability assessment, FCA requirements knowledge, file review, attention to detail, analytical thinking, constructive feedback
Preferred skills
Advice Quality/T&C/Compliance experience, Chartered Status, Consumer Duty knowledge, outcome testing frameworks
Technologies
FCA regulatory frameworks, Consumer Duty guidelines
Responsibilities
Conduct suitability reviews and outcome testing, identify recurring themes and trends in file gaps, provide constructive feedback to advisers, maintain QA records and contribute to management reporting, engage with stakeholders to drive continuous improvement