Financial Adviser Assistant

About the position

This role exists to manage financial planning advice risk. You will monitor advice quality and adherence to regulatory requirements. This will involve in-depth analysis of advice scorers and reports to identify potential regulatory risks.

Job Responsibilities:
Internal and External Advice Review
Written and verbal guidance to Executive management and the financial and Para Planners
Creation of processes to mitigate Risks
Maintain and Review the Compliance framework
Analyse legislation and regulatory changes and communicate the impact thereof on the business
Analysis advice audit scores
Identify potential breaches
Draw up related reports to be communicated to the business
Monitor the Compliance dashboard
Help formulate the risk framework and compliance procedures

Qualifications - NON-NEGOTIABLE
A relevant Degree from a recognised University (please don't respond if you only have a Diploma)
Experience in the Financial Services (NOT BANKING) sector where Financial Planning and Advice is the primary business focus
Strong analytical qualities together with the above
Attention to detail and procedures must be a natural competency
A passion for regulations, adherence to the law, and analysing data to ensure the business meets legal compliance.

Desired Skills:

• Financial advice review

Desired Work Experience:

• 2 to 5 years

Desired Qualification Level:

• Degree

About The Employer:

A private client asset manager who deals in financial reviews, due diligence, and planning for long-term life insurance, retirement portfolios, and onshore and offshore investments.