Financial Planner and Quality Assurance Analyst

JP Morgan

Location: Greater London

Job Type: Full time


Quality Assurance Consultant and Financial planner

Location: London, Vauxhall

Who we are:

Job in a nutshell:

This role is a Quality Assurance and Monitoring role within the advice space with an element of coaching and some advice provision. This role will ensure that the Nutmeg in-house advice team meets its regulatory responsibilities and quality KPIs, and operates within our business risk and performance policies and procedures, while delivering an excellent customer experience.

This candidate will be responsible for monitoring and reporting on the output of Financial Planners, Wealth Consultants and Senior Wealth Managers, reviewing both guidance conversations and full regulated financial advice. Dependent on experience, the role may also include the provision of advice to clients on pension drawdown strategies, supported by a team of Para planners.


  • The main focus of this role is the is to support and review the advice cases delivered, to make sure each case delivers good customer outcomes.
  • The majority of this role will be focused reviewing advice, suitability reports and cash flow plans as well as listening to calls, reading emails and completing scorecards and feedback on advice interactions.
  • It will involve the continuous monitoring of individual client interactions and cases, reporting on the results and ensuring a proactive, transparent and impactful monitoring of quality (customer experience and relationship management), risk and escalation of issues
  • Be a technical expert and point of referral for the advisers on the team
  • Take part in regular calibration exercises to ensure consistency of quality monitoring and reporting and support the learning and development of the rest of the QA team
  • Provide adhoc and regular upskilling and development coaching to team members, in line with growth and development frameworks under the guidance of the Learning and Quality Manager. This will cover regulatory adherence and relationship management skill development.
  • Maintain excellent knowledge of all internal processes and products and relevant regulatory developments related to investments, risk management and governance
  • Maintain continuous professional development to maintain level 4 qualification proficiency, and demonstrate detailed technical knowledge, specifically related to pensions and investments
  • Provide manager with a continuing, non-bias viewpoint on the quality of our client service interactions
  • Offer productive feedback in writing, and from time to time in person, in line with quality guidelines. Assist team leaders and coaches in providing data for continuous professional development for advice team members
  • Assist with the development and creation of ongoing quality reporting frameworks.

Your skills:

  • The candidate will have experience in an investment/wealth management /pensions background.
  • The candidate will have level 4 qualifications in financial planning as a minimum.
  • Have an extensive understanding and experience in financial planning and advice provision.
  • An understanding of FCA and regulatory requirements surrounding Investments and pensions.
  • Extensive knowledge of Investments and risk principles, products and management.
  • Strong analytical skills with ability to accurately identify key issues.
  • Excellent writing and communication skills.
  • Results focused, with a strong sense of accountability.
  • The ability to operate with urgency and prioritise work accordingly; deliver within approved timelines and budgets.
  • Strong problem solving skills, the ability to demonstrate sound judgement.
  • Experience of coaching and development.

You might also have:

  • Excellent Microsoft Office skills
  • Aiming for or have chartered status.

When you work at JPMorgan Chase & Co., you’re not just working at a global financial institution. You’re an integral part of one of the world’s biggest tech companies. In 20 technology centers worldwide, our team of 50,000 technologists design, build and deploy everything from enterprise technology initiatives to big data and mobile solutions, as well as innovations in electronic payments, cybersecurity, machine learning, and cloud development. Our $10B+ annual investment in technology enables us to hire people to create innovative solutions that will are transforming the financial services industry.

At JPMorgan Chase & Co. we value the unique skills of every employee, and we’re building a technology organization that thrives on diversity. We encourage professional growth and career development, and offer competitive benefits and compensation. If you’re looking to build your career as part of a global technology team tackling big challenges that impact the lives of people and companies all around the world, we want to meet you.

J.P. Morgan offers an exceptional benefits program and a highly competitive compensation package.

J.P. Morgan is an Equal Opportunity Employer.


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