Compliance Advice Technician
Not Provided, Birmingham, United Kingdom
Job type: fulltime
Job industry: Accounting
Leading Financial Services IFA require an Financial Advice Technician dealing with Regulated Advice to work from Birmingham office
Advice Technician - very Competitive basic pa plus benefits.
* Our client company is a leading IFA and Discretionary Wealth Management firm, established in 1990 and is a public quoted company.
* They pride themselves on being a people based business and promote opportunities for career development within the company wherever possible.
* Your role as an Advice Technician will be to have an understanding of the firm's regulated financial advice in order to develop the company's technical knowledge.
* You will be offering a constructive contribution into technical discussions and developing the company's advice / regulatory processes.
* 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.
* The company continually look to develop their own staff with regular career development opportunities available on all levels.
Criteria: Advice Technician (Compliance)
* Level 4 Diploma required
* Willingness to take further qualifications, as relevant to your role
* High level of accuracy and attention to detail
Note: In addition to this role there is also a Senior Financial Planning Technician ( salary linked to experience)
If you would rather have a confidential discussion regarding this or any other role Please contact David Fletcher,Senior Recruitment Consultant on (Apply online only)
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