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- Tasks: Review financial advice to ensure quality and compliance standards are met.
- Company: Join AFH Wealth Management, a top independent financial advisory firm in the UK.
- Benefits: Enjoy a competitive salary and a range of attractive benefits.
- Other info: Full-time role with opportunities for professional development and growth.
- Why this job: Make a real difference in financial planning while growing your career.
- Qualifications: Strong understanding of financial regulations and compliance experience preferred.
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 requirements.
Compliance Advice Technician 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
✨Tip Number 1
Network like a pro! Reach out to professionals in the financial advisory and compliance sectors. Attend industry events or webinars, and don’t be shy about introducing yourself. You never know who might have the inside scoop on job openings!
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of compliance regulations and financial planning standards. We recommend creating a cheat sheet of key concepts and recent changes in the industry to impress your interviewers.
✨Tip Number 3
Showcase your skills through real-life examples. When discussing your experience, use specific cases where you enhanced advisory outcomes or made critical decisions. This will demonstrate your capability and fit for the Compliance Advice Technician role.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who take the initiative to connect directly with us.
We think you need these skills to ace Compliance Advice Technician
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Advice Technician role. Highlight relevant experience and skills that match the job description, especially your understanding of compliance and financial planning.
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re passionate about compliance and how your background makes you a great fit for AFH Wealth Management. Keep it concise but impactful.
Showcase Your Attention to Detail: As a Compliance Advice Technician, attention to detail is key. In your application, provide examples of how you've demonstrated this skill in previous roles, especially in reviewing documentation or advice.
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It helps us keep track of your application and ensures you don’t miss out on any important updates from us!
How to prepare for a job interview at AFH Financial Group.
✨Know Your Compliance Stuff
Make sure you brush up on the latest compliance regulations and financial planning standards. Being able to discuss specific cases or examples where you've applied your knowledge will show that you're not just familiar with the theory, but you can also put it into practice.
✨Showcase Your Judgement Skills
Prepare to discuss scenarios where you've had to make tough decisions or provide professional judgement. Think about how you assessed risks and what outcomes resulted from your decisions. This will demonstrate your ability to handle high-risk situations effectively.
✨Ask Insightful Questions
Come prepared with questions that show your interest in the role and the company. Ask about their approach to compliance audits or how they support ongoing professional development. This not only shows your enthusiasm but also helps you gauge if the company is the right fit for you.
✨Demonstrate Continuous Learning
Highlight any recent CPD activities or training you've undertaken related to financial planning and compliance. This shows that you're committed to maintaining a high standard of technical competence, which is crucial for the role of Compliance Advice Technician.