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Private Client Advice Business Assurance Analyst (2020-8908)

London, United Kingdom
Portfolio Management
2020-8908

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Job Description

Overview

Fisher Investments Europe is looking to hire a talented file reviewer to join a new internal business assurance team. You will be responsible for reviewing suitability reports to ensure that all financial and investment advice recommendations, made by Private Client Advice group (PCA), are in the clients best interests and meet internal standards. The scope of the business assurance review work will cover all client advice services offered, by PCA group, although it will primarily be pension switch/consolidation, ISA transfers, investment bonds and General Investment Account transfers.

 

The Opportunity:

 

The PCA group provides regulated financial and investment advice to potential clients and all existing clients in the UK and across Europe. The client advice service, offered by FIE, includes retirement planning (pre and post), pension switches/transfers, cash flow planning, taxation and Inheritance Tax (IHT) planning as well as asset allocation recommendations. Candidates will be skilled in reviewing and assessing suitability reports primarily related to money purchase pensions, ISAs, General Investment Accounts, investment bonds (onshore and offshore) and trusts. The role offers an exciting opportunity to establish an internal business assurance team and help ensure that clients continue to receive a first class service and appropriate financial and investment advice.

 

The Day-to-Day:

 

The primary day to day responsibilities are as follows (not an exhaustive list):

  • Review suitability reports to ensure that any financial and investment advice given to potential and existing clients meet the overarching suitability requirements of the Financial Conduct Authority
  • Work with Line 2, Compliance and Risk, to ensure that the business assurance framework created for the assessment of suitability, aligns to internal standards and the firm’s advice framework
  • Design and implement management information to allow the PCA group to measure and report to relevant management committees on the ongoing standards of advice within the firm
  • Provide feedback to the Training Program Manager within the PCA group on areas that require further improvement and development in the advice team

Your Qualifications:

  • University graduate or equivalent combination of education/experience
  • Level 4 qualified – Diploma in Financial Planning/Regulated Financial Planning
  • Level 6/Chartered status would be an advantage, as would AF3/G60 PTS qualification
  • Very strong understanding of financial planning principles with a specialism in pension planning
  • Very strong understanding of the FCA’s COBS requirements for suitability
  • Prior experience in file reviewing personal recommendations for retail clients
  • Extremely attentive to detail

Why Fisher Investments Europe:

 

Fisher Investments Europe offers investment advice and portfolio management tailored to clients’ long-term goals. Client assets are held at European and UK custodians and managed by Fisher Investments in the United States. Fisher Investments and Fisher Investments Europe use a simple and transparent fee structure that aligns our interests with our clients’ priorities. The Fisher organisation has a long history of managing global investments and helping people reach their long-term goals and objectives.

 

To help our employees meet their long-term goals, we offer an array of benefits, including:

  • 100% coverage of the supplemental medical and dental premiums for you and your qualified dependents*
  • 28 days annual leave, increasing to 30 after 5 years of service, with ability to purchase up to 3 additional days
  • Annual Health Screening for you and your qualified dependents*
  • 9% company pension contribution with an additional company match up to 5%
  • Two pension contributions methods to choose from
  • Monthly gym subsidy
  • Interest-free season ticket loan available for purchase upon six months of employment**
  • Cyclescheme programme
  • Voluntary travel insurance (winter and non-winter sports option)
  • A supportive, collaborative working environment
  • Employee appreciation events 
  • Ongoing training and educational support
  • Enhanced maternity pay subject to 12-months continuous service

The global Fisher organisation distinguishes itself by putting clients first, providing world-class service, and taking a personalised approach. Join a team that’s bringing new approaches to wealth management daily!

 

FISHER INVESTMENTS EUROPE IS AN EQUAL OPPORTUNITY EMPLOYER

 

*Employees responsible for taxes

**Available only to regular full-time employees with at least a 12-month contract

 

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