Business Assurance Specialist
HybridLondon, England, United Kingdom or Leeds, England, United Kingdom
Job Summary
Deliver Business Assurance control checks and reviews based on QCFPs business standards, assessing financial advice for regulatory compliance and consumer suitability. Manage workload to complete activities within acceptable timescales while collaborating constructively with Financial Planners and Paraplanners to maintain professional impartiality. Support remediation cases where customer detriment is identified and update internal systems to record review outcomes. Escalate breaches of regulation or internal process infringements immediately. Ensure professional learning is embedded through new standards and Quality Assurance rollouts. Operate from Birmingham, London, Carlisle, Exeter, or Leeds on a hybrid schedule.
Required Qualifications
- Experience of working in a Financial Service environment
- A broad understanding of the Financial Planning markets in terms of Advice, Product Providers & Lenders
- A broad knowledge and understanding of Financial Service Regulation such as RDR, MIFID ll, SDR, Supervision and Oversight, Data Protection, Anti-Money Laundering, Financial Crime, Data Security and Consumer Duty
- Strong analytical approach and inquisitive nature
- A professional attitude including a professional telephone manner and professional communication skills are essential
- The ability to cope under pressure and react quickly to changing priorities
- A good working knowledge of Excel, Word and PowerPoint
- Management information via systems such as Xplan and Worksmart
- Diploma Level 4 Qualified AF3 Pension Transfers (or equivalent preferred)
- CF6 (or equivalent preferred)
- ER1 (or equivalent preferred)
- CF8 (or equivalent preferred)
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