- Compliance
- Quality Assurance
- Financial Advice/Wealth Management
Fram Search is partnering with a respected Financial Planning firm that is looking to appoint an experienced Quality Assurance professional to strengthen its technical oversight function. This is a key role within the business, focused on maintaining high advice standards and protecting the firm through robust quality control processes. You will play an important part in reviewing and assessing suitability reports and technical research to ensure they meet regulatory requirements, internal standards and best practice guidelines. Responsibilities will include conducting structured file reviews, carrying out quality assurance checks across client cases, monitoring the consistency and quality of advice provided, and identifying trends or areas for improvement. You will also be responsible for producing regular reporting on advice standards and working closely with advisers and technical teams to promote continuous improvement. The firm is seeking someone with:
- A minimum of 5 years' experience within a Quality Assurance, Compliance or Technical Paraplanning role
- Strong working knowledge of financial planning regulation and industry standards
- The Level 4 Diploma in Financial Planning (essential)
- The confidence to challenge constructively and uphold high professional standards
This opportunity would suit a technically strong individual who enjoys oversight, governance and maintaining excellence within a financial planning environment. For a confidential discussion, please contact Fram Search.
