Compliance Advice Technician (Hybrid/Remote)
An opportunity to join AFH Wealth Management, one of the UK’s leading independent financial advisory and wealth management firms.
We are looking for those of you who wish to grow with us as a business and support our strong growth plans. This is a full-time, permanent opportunity and in return, you will receive a competitive salary and range of benefits.
The purpose of this role is to provide assurance on the quality of the suitability and documentation of advice from a 2nd line, compliance perspective. Reviewing initial and annual advice interactions and the framework that underpins them.
As our Compliance Advice Technician, you will typically:
- Enhance advisory outcomes and solutions through oversight of range of financial planning cases
- Provide clear and considered professional judgement and decision on cases which carry the potential for a higher risk impact to client, firm and advisers
- Undertake a programme of advice reviews forming a coherent overall advice audit framework. The framework will include performing enhanced post audit review assessment of advice cases and evaluation of standards.
- Maintain a high standard of technical and regulatory competence and comprehensive knowledge of financial planning through consistent annual CPD activities in line with the firm’s T&C Scheme
- Contribution and participation in Advice Guidance discussions
- Provide valued input into the technical and regulatory development of advisers and staff as required.
What we are looking for in our ideal Compliance Advice Technician:
- Chartered Financial Planner status or actively working to final stages of becoming Chartered
- Commitment and willingness to pursuing further professional qualifications relevant to the role.
- Demonstrate excellent knowledge and strong interest in the personal and corporate financial planning principles and regulatory requirements
- Experience in the quality of advice including providing constructive scrutiny and feedback of case files including KYC, research and Financial Planning Reports
- A decisive nature giving the ability and willingness to make thorough and well-informed decisions in relation to advice cases that present a high risk to the business.
Benefits and Perks at AFH
- Flexible working & holidays - Enjoy flexible working and competitive holiday allowance, with annual buy & sell scheme options and your birthday off. Plus, additional holiday days for long service.
- Social perks - To recognise and celebrate employees' great work we are all invited to our annual Christmas and Summer parties.
- Pension - We offer a contributory pension scheme with Royal London as well as death-in-service benefit.
- Bonus scheme - All AFH employees are offered a competitive salary and a discretionary annual bonus, following completion of a year’s service.
- Health and wellbeing - The MediCash app puts your health in the palm of your hands. Claim cashback on a wide selection of health and wellbeing initiatives, including discounted health club memberships and free healthcare benefits.
- Professional development - We are committed to helping you reach your potential by offering tailored learning and development programmes to pursue your career goals.
- Shopping discounts - Our employees can choose from many retailers to get discounts or cashback on everyday purchases from our favourite high street clothing stores to our go-to supermarkets, as well as access to free online training courses.
To learn more about this opportunity and the culture of AFH Wealth Management, please visit our Careers website https://www.afhwm.co.uk/careers/ or email the People Resourcing team via [email protected]. We look forward to hearing from you!
