We are looking for a Quality Review Assessor to join our Compliance team and play a key role in maintaining and improving the quality of advice delivered across our network. You will conduct file reviews, assess adviser suitability and regulatory compliance, identify trends and risks, and support firms in delivering good client outcomes.
You will work closely with advisers, senior management, and compliance colleagues to promote high standards of advice and regulatory compliance across the business.
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Maintain a comprehensive programme of file monitoring across the network in line with regulatory requirements.
- Conduct quality of advice reviews across all areas of the business and Appointed Representative (AR) firms.
- Record, analyse and report on emerging trends, ensuring findings are communicated within agreed timescales.
- Carry out enhanced monitoring reviews, risk assessments, and focused business reviews where required.
- Analyse exception reporting data to identify patterns, risks, and opportunities for improvement.
- Support member firms by coordinating and delivering training designed to improve advice quality and regulatory standards.
- Assist with pre-approval requirements across specific advice areas.
- Attend Compliance Team meetings, contribute to discussions, and prepare meeting minutes when required.
- Attend and contribute to governance and committee meetings across the group.
- Provide ongoing monitoring and compliance support to the wider team.
- Participate in projects, initiatives, and continuous improvement activities across the compliance function.
- Build effective working relationships with advisers, member firms, and senior stakeholders.
- Provide telephone support and guidance on compliance-related matters.
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Excellent knowledge of retail investment, pensions, savings, and protection products within the wealth management sector.
- Strong understanding of FCA regulations and the practical application of regulatory requirements.
- Excellent analytical and observational skills with strong attention to detail.
- Highly developed written and verbal communication skills.
- Ability to communicate confidently with a wide range of stakeholders while remaining adaptable and collaborative.
- Strong organisational skills with the ability to manage multiple priorities effectively.
- Minimum Level 4 Diploma qualification in Financial Planning or an equivalent regulated advice qualification.
- Significant experience within financial services, ideally within a wealth management, investment, or insurance environment.
- Experience conducting suitability reviews, file checking, quality assurance reviews, or compliance monitoring activities.
- Good understanding of FCA and PRA regulatory expectations and compliance requirements.
- Experience identifying trends, assessing risk, and providing constructive feedback to support improvements in advice quality.
You’ll be based at our Harrogate, North Yorkshire office, a well-connected location that combines a professional working environment with the benefits of a well-regarded market town. The area offers easy access to local amenities, green space, and transport links.
The office provides a practical, modern setting designed to support day-to-day work and collaboration across the team.
We support a balanced approach to work and recognise the value of a working environment that enables both productivity and flexibility.
Benchmark is one of the UK’s leading financial planning businesses, aiming to help our clients realise aspirations and achieve peace of mind. We do this through our unique business model which provides support to over 1000 financial planners across our employed, self-employed and independent models. Our solutions are award-winning, enabled by proprietary technology covering regulatory, platform and investment services, all of which are designed to support advisers at every stage of their journey – from starting their career, improving how they run productively and effectively, to accelerating growth and ultimately thinking about succession planning.
We are growing rapidly, with more than 50 acquisitions in recent years and have multiple offices across the UK.
Delivering good client outcomes is at the heart of everything we do. Our duty of care, including support for vulnerable customers, is embedded into our culture and decision‑making.
As part of the Schroders Group, the UK’s largest listed asset manager with over £750bn of assets, Benchmark benefits from a focussed business model with clear accountability with the scale of a global services organisation.
We're looking for the best, whoever they are
We know that diverse perspectives and an inclusive culture where all can succeed lead to better decisions and stronger outcomes for the company its clients and its employees. That’s why inclusion and diversity are strategic priorities for us. We’re proud to be an equal opportunities employer. You’re welcome at Benchmark regardless of your age, disability, gender identity or expression, religious beliefs, sexual orientation, or socio-economic background. We’re building a workplace where everyone feels respected, valued, and empowered to thrive.
