Advice Technician & Senior Advice Technician
The Company and Culture
Our client company is a leading Independent Financial Advisory firm, established in 1990 is a public quoted company. Due to continued growth, they are looking to recruit support staff for the Compliance team to ensure the firm are able to continue to abide by regulatory requirements. They pride themselves on being a people based business and promote opportunities for career development within the company wherever possible.
Advice Technician responsibility - will be to have an understanding of the firm's regulated financial advice in order to develop the company's technical knowledge.
Senior Advice Technician responsibility - you will be offering a constructive contribution into technical discussions and developing the company's advice / regulatory processes.
Both roles (level of responsibility dependent upon experience)
- Undertaking advice audits on both pre-submission and post submission in line with the business T&C and providing contrastive / informative feedback to relevant parties (Senior level undertakes higher risk cases).
- Performing assessments on specific cases, which carry a high risk to the client, firm and/or IFA and be involved in investigations where necessary.
- Maintaining a good level of knowledge and technical understanding of all financial planning concepts and regulatory focuses through the completion of annual CPD
- You will be involved in technical and regulatory development of IFA's and staff to ensure the company maintain their high standard for knowledge of compliant procedures across all levels of staff.
Requirements to be considered
You should be qualified to a minimum of Level 4 Diploma in Financial Advice and have experienced of providing compliance support within Financial Planning. Preferably experience as a Compliance Officer or Compliance Manager.
- Competitive and progressive salaries for Advice Technician and Senior Advice Technicians
- Fantastic employee benefits package including: pension, DIS, flexible cash benefits, annual bonus, holiday and training/qualification funding.
- Excellent team environment with regular team building events such as Summer BBQs and Christmas party, free to attend!
- These roles have become available due to the successful growth of IFA's within the business.
- Birmingham City Centre
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