Quality Assurance Consultant - Wealth Management

Regional and Branch Operations
48593 Requisition #
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Have you always wanted to forge a career in quality assurance? We're seeking a Quality Assurance Consultant to help our Operations team. It's a dynamic role that requires you to use your problem-solving skills daily.

You'll be supporting the wider team by undertaking all aspects of the firms quality assurance programme. This role requires an analytical and diligent approach to ensure the firms Compliance systems & controls and to complement the firms Training and Competence Scheme.


Your Key Accountabilities:

  • Review and provide guidance on the client suitability review process for the appropriate evidence and documentation standards for the business.
  • Help with the ongoing development of the QA functions procedures.
  • Design and implement business theme reviews to help provide feedback on guidance around any points for development.
  • Conduct file reviews and provide constructive feedback, as required.
  • Act as point of contact for queries on suitability from Advisers.
  • Provide pre-approval for High Risk cases.
  • Ensure sales process and on-boarding procedures are adhered to and provide constructive feedback.
  • To keep accurate and up to date registers relating to files reviewed and remedial actions.
  • Assist in the cultural development of the business.
  • Analyse and understand the client file, needs and objectives together with any other supporting research evidence provided.
  • Liaise with other departments, offices and colleagues in a polite and professional manner.
  • Good broad knowledge on the products and providers available on the open market.
  • Maintain industry awareness and increase own knowledge of financial products and financial planning strategies by attending relevant training sessions and taking specific industry exams.

What are we looking for?

Do you have, or are you working toward regulatory qualifications, such as QCF Level 4? Do you have experience in analyzing client files, or designing systems and controls?

Do you have what it takes?

  • Some understanding of pensions, wealth management and the employee benefit markets would be exceptionally useful. Deep understanding and ongoing desire to learn about UK regulation within our industry. You take pride when keeping up to date with key developments, industry changes and regulations.
  • You have a strong grasp on how financial products, funds, pensions, markets, are impacted by the legislation in our country and how we can operate effectively.
  • You are an effective communicator with strong interpersonal skills. You exhibit good listening skills and more importantly, the natural aptitude to then ask the right questions.
  • Fosters good working relationships, listens and respects the contribution of others and demonstrates flexibility within the team. High level of accuracy and attention to detail in all areas of work, including ability to produce high standards of documentation.
  • Ability to maintain an independent view where necessary. Respected and trusted by others. With a ‘can-do’ attitude, you actively manage your workload.
  • You are IT literate – Microsoft Office (Excel, Word, Powerpoint) and relevant internal systems/databases.
  • You are able to deal with change in a positive way and we rely on you to give us your opinions in a clear and candid manner. You act with integrity displaying an open and trustworthy persona.

We require that you are eligible to work in the UK and able to travel to various locations.

Arthur J. Gallagher – an equal opportunities employer; specialists in employee benefits and employee engagement.

Argentis joined Gallagher, one of the largest risk management organisations in the world, in 2016. Together we have created a chartered independent financial planning and wealth management business committed to high quality service and advice that's delivered with precision and discretion. Our national team of highly-qualified practitioners are dedicated to providing personalised financial advice which protects, grows and preserves everything that their clients have worked hard to build.

Argentis is a forward thinking business that provides independent advice to individuals, trustees and companies. Argentis was founded with the aim of providing clients with the highest quality of independent and professional advice that is not biased by products, commission or adviser charges.