We're recruiting for a Trainee Business Quality Controller to join a growing Financial Services business. This is an excellent opportunity for someone with experience in Financial Planning, Paraplanning or Compliance who is looking to develop a career in Business Quality and Regulatory Oversight.
Key Responsibilities
- Support complaint investigations and business issue resolution.
- Assist with advice file reviews and quality assurance processes.
- Produce management information (MI) and compliance reports.
- Manage remedial actions and provide feedback to adviser teams.
- Maintain accurate compliance records and support ongoing projects.
- Stay up to date with FCA regulations and Consumer Duty requirements.
- Previous experience in Financial Services (Compliance, Paraplanning or a similar role).
- Understanding of the Financial Planning process and FCA regulations.
- Strong attention to detail and excellent organisational skills.
- Confident using Microsoft Office, particularly Excel and Word.
- Working towards a Level 4 Diploma (DipPFS or equivalent).
