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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, bonuses, 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 financial knowledge.
The predicted salary is between 30000 - 40000 £ per year.
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 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 or email the People Resourcing team. We look forward to hearing from you!
Compliance Advice Technician in Bromsgrove employer: AFH Wealth Management
Contact Detail:
AFH Wealth Management 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! Reach out to current employees at AFH Wealth Management on LinkedIn. A friendly chat can give you insider info and might just get your foot in the door.
✨Tip Number 2
Prepare for the interview by brushing up on your knowledge of compliance and financial planning principles. Show us you’re not just a candidate, but someone who’s genuinely passionate about the industry.
✨Tip Number 3
Practice your decision-making skills! Think through potential high-risk scenarios and how you’d handle them. We want to see that you can make informed choices under pressure.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, it shows us you’re serious about joining our team.
We think you need these skills to ace Compliance Advice Technician in Bromsgrove
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Advice Technician role. Highlight your relevant experience and skills that match the job description, especially your knowledge of financial planning principles and regulatory requirements.
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. Be sure to mention any professional qualifications you're pursuing.
Showcase Your Decision-Making Skills: In your application, emphasise your ability to make informed decisions, especially in high-risk situations. Share examples from your past experiences where you've provided constructive feedback or enhanced advisory outcomes.
Apply Through Our Website: We encourage you to apply directly through our careers website. It’s the best way to ensure your application gets to us quickly and efficiently. Plus, you’ll find all the details about the role and our company culture there!
How to prepare for a job interview at AFH Wealth Management
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of compliance regulations and financial planning principles. Being able to discuss specific regulatory requirements and how they apply to the role will show that you're serious about the position.
✨Prepare for Scenario Questions
Expect to be asked about high-risk cases and how you would handle them. Think of examples from your past experience where you had to make tough decisions or provide constructive feedback, and be ready to explain your thought process.
✨Show Your Commitment to Development
AFH values ongoing professional development, so be prepared to talk about any qualifications you're pursuing or plan to pursue. Highlighting your commitment to continuous learning will resonate well with the interviewers.
✨Engage in the Culture
Research AFH's culture and values before the interview. Be ready to discuss how you can contribute to their team spirit and participate in social events. Showing that you’re a good fit for their work environment can set you apart from other candidates.