Date posted:
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Full Time
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Short Company Profile:    

Established in 2012, the Beaufort Group of Companies is a leading provider of retail financial services advice and products. With offices throughout the UK, the Group delivers high-quality financial planning and investment services through its subsidiaries, Beaufort Financial and YOU Asset Management (YOU).

Beaufort Financial is a nationwide partnership of IFAs offering sophisticated and transparent financial advice to private companies and individual clients.

Role Responsibilities, Principal Objectives & TCF

  • Adherence to BFP guidelines in respect of pre-approval criteria and maintenance of BFP professional standards
  • Review advice, produce accurate Quality Control reports and provide constructive feedback to Advisers
  • Analyse and understand the client file, needs and objectives together with any other supporting research evidence provided
  • Apply grades 1-6 as appropriate – Outcome 5 and 6 to be notified to Technical Manager and Advice Proposition Manager
  • Ensure any remedial activity is followed up and completed in a timely manner and updated accordingly in pre-sale approval data base
  • Act as point of contact for queries on suitability from Advisers
  • To provide qualitative feedback to Advice Proposition Manager
  • Assist with the on-going development of QC functions and procedures
  • Identify and report trends which may indicate weaknesses in the understanding and implementation of the advice process
  • Undertake both pre-sale approval file checking and Financial Promotions approvals to ensure Agreed Service Levels are maintained
  • Formal notification of all guidance requested from the Compliance Department

Competencies and Behaviours Required

Communication: Ability to communicate with all levels of the organisation, Partners and Advisers in a polite and professional manner. Proficiency in email and oral communication of advice reviews essential. High level of attention to written communications and mathematical detail.

Team Work: Ability to work as part of a busy QC team, assist QC Manager to achieve standing objectives, consistency, meet deadlines, help with ad-hoc projects for senior management.

Problem Solving:The ability to identify poor practice or inefficiencies and provide possible solutions.

Self Management: Key

Planning and organising: Key as there is a variety of demanding individuals to service with tight regulatory standards and deadlines. Ability to organise, and prioritise own workloads.

Technology: Microsoft applications, laptop, phone, external providers including IO.

Learning: Ability to identify learning gaps in self and action solutions to fill those gaps. Work towards level 4 Diploma in Financial Planning. Maintain adviser equivalent CPD.

Experience: 1 year experience in financial services. An understanding of the key product ranges and associated product risks for protection, investments & pensions

Initiative and enterprise: Proactive communication within the QC team.