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Open nowFirst seen 3 days ago

Advice Quality Checker (EU)

Hoxton Wealth19 open roles

Where
Larnaca, Cyprus
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Your applicationOpen nowAdvice Quality Checker (EU)Hoxton Wealth · Larnaca, Cyprus

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The clock on this job

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Share of postings closed within
  1. 2.1%1 day
  2. 4.5%3 days
  3. 12.3%7 days
  4. 19.3%14 days
  5. 35.6%30 days
  6. 57.8%60 days
This job: first seen 3 days ago

The posting

Role Purpose

The Advice Quality Checker EU is responsible for the independent review and approval of client files to ensure all investment recommendations and ongoing advice provided by the Company meet the requirements of CySEC, MiFID II, ESMA Guidelines, internal policies and procedures, and applicable consumer protection standards.

The successful candidate will act as the first line of defence in the advice process, providing constructive challenge to advisers and ensuring recommendations are suitable, fair, and appropriately documented. This role is critical in maintaining regulatory compliance, delivering good client outcomes and supporting the Company's commitment to excellence in wealth management.

Key Responsibilities

  • Review new business and annual review files for completeness, suitability and regulatory compliance.
  • Assess the appropriateness of investment recommendations, including portfolios, pensions, insurance-based investment products and associated financial planning solutions.
  • Ensure client objectives, knowledge and experience, financial circumstances, capacity for loss and risk tolerance have been appropriately identified and documented.
  • Review and challenge adviser suitability reports to ensure recommendations are clear, fair, not misleading and adequately evidence the rationale for advice provided.
  • Verify that all required disclosures, fees, charges and conflicts of interest have been appropriately disclosed to clients.
  • Assess target market considerations and ensure recommendations align with applicable product governance requirements.
  • Ensure ESG and sustainability preferences have been considered where applicable.
  • Review KYC, AML and source of wealth documentation and escalate concerns where necessary.
  • Verify that all client agreements, application forms and supporting documentation have been correctly completed.
  • Liaise with Advisers, Compliance and Operations teams to resolve outstanding queries and obtain additional information where required.
  • Identify trends, recurring issues and areas for improvement within the advice process and provide feedback to management.
  • Assist with file review MI, quality assurance reporting and thematic reviews.
  • Support internal and external audits, including regulatory inspections and due diligence exercises.
  • Maintain an up-to-date understanding of CySEC, MiFID II and ESMA requirements and contribute to the enhancement of policies and procedures.
  • Participate in training and mentoring of advisers and junior case checking staff where required.

Knowledge and Experience

Essential:

  • Minimum of 3 years' experience within wealth management, investment operations, paraplanning, compliance or case checking.
  • Strong understanding of MiFID II suitability requirements and CySEC regulatory expectations.
  • Experience reviewing suitability reports and investment recommendations.
  • Working knowledge of pensions, investments, insurance-based investment products and portfolio structures.
  • Excellent attention to detail and analytical skills.
  • Ability to challenge senior stakeholders confidently and professionally.
  • Strong written and verbal communication skills in English.
  • Proficiency in Microsoft Office applications.

Desirable:

  • CySEC Advanced Certification.
  • ICA, CISI or equivalent professional qualification.
  • Experience within an international wealth management business.
  • Knowledge of ESG and sustainability requirements.
  • Greek language skills.

Key Competencies

  • Regulatory and technical expertise.
  • Strong decision-making capability.
  • Excellent organisational skills.
  • Ability to work under pressure and manage competing priorities.
  • High level of integrity and professionalism.
  • Strong stakeholder management and influencing skills.
  • Commercial awareness balanced with sound regulatory judgement.
  • Commitment to delivering positive client outcomes.

Key Performance Indicators

  • File review turnaround times.
  • First-time approval rates.
  • Reduction in file defects and rework.
  • Adviser feedback and engagement scores.
  • Audit and regulatory findings.
  • Timely completion of mandatory training.
  • Quality and accuracy of management information produced.

What We Offer

  • Competitive salary and benefits package.
  • Hybrid working arrangements.
  • Professional development and sponsorship of relevant qualifications.
  • Opportunity to work within a global wealth management organisation.
  • Exposure to multiple jurisdictions and regulatory frameworks.
  • Career progression opportunities within Compliance, Operations and Quality Assurance.

This role profile is intended to provide an overview of the duties and responsibilities associated with the position and may be amended from time to time to meet business requirements.

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