At a Glance
- Tasks: Conduct quality audits and provide feedback to financial advisers in a hybrid role.
- Company: Join one of the UK's largest independent financial advisory firms.
- Benefits: Enjoy a competitive salary, hybrid work, flexible holidays, and health perks.
- Other info: Great opportunities for professional development and a vibrant company culture.
- Why this job: Make a real impact in financial services while developing your career.
- Qualifications: Diploma in Financial Planning and experience in an IFA environment required.
The predicted salary is between 50000 - 50000 £ per year.
We are working with one of the UK's largest independently owned financial advisory and wealth management firms — headquartered in Bromsgrove, West Midlands, with over £6 billion in client assets and a national network of 200+ accredited independent financial advisers — to recruit an Advice Quality Assurance Technician on a permanent, hybrid basis. This is a technical, compliance-focused role within the firm's Risk and Training and Competence (T&C) function. You will conduct pre-submission and post-submission advice quality audits across the IFA network, deliver constructive feedback to advisers, and support ongoing FCA regulatory activity. The role is well suited to an experienced Paraplanner, IFA Administrator, or compliance professional who wants to apply strong technical knowledge in a dedicated advice quality function.
WHAT YOU WILL BE DOING
- Conducting pre- and post-submission advice quality audits in line with the firm's T&C Scheme
- Delivering clear, constructive written feedback to Financial Advisers following case assessments
- Handling day-to-day advice and regulatory queries from IFAs and internal teams — researching and providing accurate responses
- Processing new business concessions and ensuring accurate, timely recording
- Supporting past-business audits related to FCA Thematic Reviews
- Assisting with the periodic assessment of adviser eligibility for Competent Adviser Status (CAS)
- Maintaining CPD records and keeping technical knowledge of financial planning regulation current
WHAT YOU WILL NEED
- Diploma in Financial Planning (DipPFS or equivalent) — minimum
- Experience in an IFA environment with strong technical knowledge of personal financial planning
- Working knowledge of FCA regulatory requirements — suitability, T&C Schemes, CAS, advice standards
- Excellent written communication and report-writing skills — accuracy and attention to detail essential
- Confident working independently, managing a varied caseload to deadlines
BENEFITS
- Discretionary annual bonus
- Hybrid working
- Flexible holiday with buy and sell scheme + birthday off + long service days
- Contributory pension (Royal London) + death-in-service
- MediCash health and wellbeing cashback app — dental, optician, physio, gym
- Tailored professional development and qualification sponsorship
- Shopping and retailer discounts
- Annual Summer and Christmas events
Advice Quality Technician employer: Ortus PSR Ltd.
Join one of the UK's largest independently owned financial advisory firms, where you will thrive in a supportive and dynamic work culture that values professional growth and development. With a competitive salary, hybrid working options, and a range of benefits including a discretionary bonus and tailored qualification sponsorship, this role offers a meaningful opportunity to contribute to the quality assurance of financial advice while enjoying a balanced work-life environment in Bromsgrove, West Midlands.
StudySmarter Expert Advice🤫
We think this is how you could land Advice Quality Technician
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Ortus PSR Ltd. looking for candidates who are engaged and informed.
We think you need these skills to ace Advice Quality Technician
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Ortus PSR Ltd.. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Ortus PSR Ltd.
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Ortus PSR Ltd.’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
