Pre Approvals Officer

Pre Approvals Officer

Location: Leeds (Hybrid - 2-3 days in the office)

Salary: £40,000 - £45,000 + bonus

The Opportunity

We are seeking a detail-oriented Pre Approvals Officer to join our financial services team. You will play a key role in reviewing and managing cases submitted by advisers, ensuring compliance with business standards and delivering exceptional service every time.

This role involves working closely with a diverse group of advisers and internal colleagues, supporting best practice, and identifying opportunities for continuous improvement.

Key Responsibilities

• Assess pre-approval cases within agreed SLAs
• Apply business standards consistently to all submissions
• Liaise with advisers to discuss cases and provide guidance
• Maintain accurate pre-approval records and manage workflow
• Support adviser induction courses
• Assist with compliance-related casework, including procedures, AML, and staff training
• Identify trends and contribute to continuous improvement initiatives
• Build and maintain relationships with key internal and external contacts

What You Will Need

Qualifications & Experience:

• Level 4 Diploma in Financial Planning (essential)
• Established experience in a financial services T&C or related role
• Working towards higher-level qualifications such as Chartered is advantageous

Knowledge:

• COBS, ICOB, and MCOB product and sales processes
• Treating Customers Fairly (TCF) principles
• Data Protection and FCA regulations
• Anti Money Laundering compliance

Skills & Competencies:

• Strong financial planning and technical knowledge
• Coaching and feedback skills
• Ability to build rapport and work collaboratively
• Excellent organisational skills and risk awareness
• Ability to manage multiple tasks and priorities
• Attention to detail, sound judgment, and desire to learn and develop
• Strong communication skills

Benefits:

• On-target bonus of 7.5%
• Pension contributions up to 10%
• Critical illness cover, income protection, and death in service benefits
• 27 days holiday plus bank holidays (option to buy up to 10 additional days)
• Private medical and dental insurance, plus a range of flexible benefits

Why Join Us?

We are a dynamic, growing financial services organisation committed to delivering excellent client outcomes. We offer a supportive, inclusive culture with a strong focus on personal and professional development. You will have the autonomy to bring your best self to work, with the opportunity to make a real impact on our advisers and clients.