Schroders Personal Wealth aims to improve financial advice by making it more affordable, accessible, and powerful. This role involves reviewing advice delivered by Personal Wealth Advisers to ensure it meets regulatory standards and delivers excellent client outcomes.
Requirements
- Conduct outcome testing of advice cases to ensure quality and compliance with regulatory requirements and internal policies.
- Assist in monitoring compliance with relevant laws, regulations, and internal policies.
- Produce MI to identify key trends and communicate findings to stakeholders across SPW.
- Support stakeholders by maintaining accurate data and records to support good governance and data capture.
- Prepare and present reports on advice quality and compliance to senior management.
- Provide feedback to enable supervisors to coach advisers to develop and improve their advice capabilities.
- Engage and collaborate with the wider Risk function to ensure alignment and support.
- Maintain accurate data and records to support good governance and data capture.
Benefits
- Generous Holiday Entitlement
- Health & Wellbeing
- Company Pension Contribution
- Cash Allowance
- Bonus Opportunity
- Financial Advice