We are looking for a proactive and detail‑driven Business Assurance Consultant / Associate to help strengthen our first-line controls within the Front Office. This role plays a key part in embedding a culture of quality, accountability, and regulatory excellence across our business.
You’ll work closely with Branches, Advisers, and Financial Planners - providing technical support that ensures our advice is suitable, our processes are robust, and our clients receive consistently high‑quality service. This position is particularly well‑suited to individuals with para planning experience or a strong background in both Investment Management and Financial Planning.
If you are passionate about driving best practice, enjoy applying analytical rigour, and want to contribute to an inclusive, high‑performing team, we’d love to hear from you.
Key Responsibilities
- Conduct pre‑sale and post‑sale reviews to ensure advice is suitable, clearly documented, and compliant with regulatory requirements and internal policies.
- Assess the suitability of advice across pensions, investments, retirement planning, and other product areas.
- Identify and appropriately escalate risks, potential breaches, and documentation discrepancies.
- Complete Qualitative Reviews (QRs) of client portfolios - applying a strong understanding of our investment processes, procedures, and service standards.
- Support the effective management, leadership, and development of the QR team within GCOM, including:
- Maintaining high quality standards and providing constructive recommendations
- Running peer review processes where appropriate
- Ensuring Front Office challenges are addressed promptly and collaboratively
- Supporting SMCR processes and competency sign‑off activities
- Contribute to the resolution of departmental audit points as required.
Qualifications & Experience
- CISI Level 7, CII Level 7, or an equivalent qualification
- Experience in both Investment Management and Financial Planning, whether front‑line/client‑facing or within first‑line or second‑line oversight
- Strong technical understanding of Protection, Pensions, Investments, CGT, and IHT
- Experience working within a financial or professional services organisation
- Ability to collaborate effectively with colleagues at all levels
- Supervisory or team leadership experience is desirable
Knowledge & Skills
- Highly organised, methodical, and able to manage multiple priorities
- Strong working knowledge of financial services systems
- Able to meet deadlines while demonstrating persistence and strong follow‑through
- Excellent attention to detail
- Clear, confident, and respectful communicator - capable of offering and receiving feedback constructively
- Articulate and diplomatic in all interactions
- Strong written communication and report‑writing abilities
- Calm, resilient, and solutions‑focused under pressure
- Effective time management skills
- Confident leadership capability with the ability to support and mentor others
What We Offer:
- A collaborative, values-driven culture where integrity and client-first thinking are paramount.
- The opportunity to shape a growing service within a respected and stable firm.
At Raymond James, we:
- Put clients first – always.
- Act with integrity – doing what’s right, not what’s easy.
- Think long term – building a stable, responsible future.
- Value independence – celebrating individuality and encouraging innovation.
About Us:
Raymond James is a wealth management firm focused on providing trusted advice and tailored, personalised investment services. We believe if we do what’s right for clients, we’ll help them achieve success while also realising our own. Our parent company, Raymond James Financial, has been doing the same in the US for over six decades. Raymond James is listed on the NYSE, is a Fortune 500 company, and is included in the S&P 500.
