Ascot Lloyd
Advice Quality Specialist - 9 Month FTC
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To undertake independent quality assurance of financial planning advice, specifically reviewing suitability reports and associated client files to ensure compliance with FCA requirements and delivery of good client outcomes. The role supports the identification of themes, trends and risks within advice quality, contributing to continuous improvement and “right first time” outcomes.
Key Responsibilities
Advice Quality & Suitability Reviews
Review suitability reports and associated client files for compliance with FCA requirements and internal standards Assess the quality and appropriateness of advice provided to clients Identify gaps, risks and improvement areas within advice files
Outcome Testing
Conduct outcome testing to ensure advice delivered achieves good client outcomes in line with Consumer Duty Assess whether recommendations are suitable, clear and aligned to client needs
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Theme & Trend Analysis
Identify recurring themes and trends in file gaps, advice quality and errors Escalate emerging risks and systemic issues to the Senior T&C Development Manager Support the development of insights to improve advice standards
Quality Assurance & Remediation
Ensure appropriate feedback is provided to advisers and supervisors on file quality issues Monitor and track completion of remedial actions Support initiatives to reduce repeat errors and improve quality
Management Information & Reporting
Maintain accurate records of QA activity and file review outcomes Contribute to MI and reporting on advice quality trends and risks Support production of oversight reporting for governance forums
Stakeholder Engagement
Work closely with T&C, Risk & Compliance, and Advice teams to support continuous improvement Provide constructive feedback to support improved adviser performance Contribute to business initiatives focused on achieving “right first time” outcomes
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Skills & Experience
Essential:
- Level 4 Diploma in Regulated Financial Planning (minimum requirement)
- Strong understanding of suitability, advice standards and FCA requirements
- Experience reviewing financial planning files and suitability reports
Desirable:
- Experience within Advice Quality, T&C or Compliance functions
- Knowledge of Consumer Duty and outcome testing frameworks
Key Behaviours
Attention to detail Analytical thinking Constructive challenge Collaboration Outcome focus
Success Measures
Improved advice quality and suitability outcomes Reduction in repeat file quality errors Timely and accurate QA reviews Clear identification and escalation of trends and risks
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