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- Tasks: Provide compliance assurance and enhance financial advisory outcomes.
- Company: Join AFH Wealth Management, a leading independent financial advisory firm.
- Benefits: Flexible working, competitive salary, bonus scheme, and health perks.
- Other info: Enjoy social events, tailored development programmes, and shopping discounts.
- Why this job: Make a real impact in financial planning while growing your career.
- Qualifications: Chartered Financial Planner status or nearing completion, with strong regulatory knowledge.
The predicted salary is between 30000 - 40000 £ per year.
Location: Bromsgrove, Worcestershire, United Kingdom
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 a 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 pursue 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 or email the People Resourcing team via recruitment@afhgroup.com. We look forward to hearing from you!
Compliance Advice Technician in Bromsgrove employer: AFH Financial Group.
Contact Detail:
AFH Financial Group. Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Advice Technician in Bromsgrove
✨Tip Number 1
Network like a pro! Get out there and connect with people in the financial advisory world. Attend industry events, join relevant online forums, and don’t be shy about reaching out on LinkedIn. You never know who might have the inside scoop on job openings!
✨Tip Number 2
Prepare for interviews by researching AFH Wealth Management thoroughly. Understand their values, recent news, and what makes them tick. This will help you tailor your answers and show that you’re genuinely interested in being part of their team.
✨Tip Number 3
Practice your interview skills with a friend or in front of a mirror. Focus on articulating your experience with compliance and financial planning clearly. The more comfortable you are speaking about your skills, the more confident you’ll come across in the real deal!
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, it shows you’re serious about joining AFH Wealth Management and ready to contribute to their growth.
We think you need these skills to ace Compliance Advice Technician in Bromsgrove
Some tips for your application 🫡
Tailor Your Application: Make sure to customise your CV and cover letter for the Compliance Advice Technician role. Highlight your relevant experience and skills that align with the job description, especially your knowledge of financial planning and compliance.
Showcase Your Qualifications: If you're a Chartered Financial Planner or working towards it, shout about it! We want to see your commitment to professional development, so mention any relevant qualifications or courses you've completed.
Be Clear and Concise: When writing your application, keep it straightforward and to the point. Use clear language to explain your experience and how it relates to the role, making it easy for us to see why you’d be a great fit.
Apply Through Our Website: We encourage you to apply directly through our careers page. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows you’re keen on joining our team!
How to prepare for a job interview at AFH Financial Group.
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of compliance regulations and financial planning principles. Being able to discuss specific regulations and how they apply to the role will show that you're serious about the position and understand its importance.
✨Prepare for Case Reviews
Since the role involves reviewing advice interactions, it’s a good idea to prepare by going through some case studies or examples of financial planning cases. Think about how you would assess them from a compliance perspective and be ready to share your insights during the interview.
✨Show Your Decision-Making Skills
The job requires a decisive nature, so be prepared to discuss situations where you've had to make tough decisions. Use the STAR method (Situation, Task, Action, Result) to structure your answers and highlight your ability to make well-informed decisions under pressure.
✨Ask Insightful Questions
At the end of the interview, don’t forget to ask questions that show your interest in the company and the role. Inquire about their approach to professional development or how they handle high-risk cases. This not only demonstrates your enthusiasm but also helps you gauge if the company is the right fit for you.