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, bonuses, flexible holidays, and health perks.
- Other info: Dynamic team culture with opportunities for professional growth and fun events.
- Why this job: Make a real impact in financial services while developing your skills.
- 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
- 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
- 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 in Bromsgrove employer: Ortus PSR Ltd.
Join one of the UK's largest independently owned financial advisory firms, where you will thrive in a supportive hybrid work environment in Bromsgrove. With a strong focus on employee development, competitive benefits including a discretionary bonus, flexible holidays, and tailored professional growth opportunities, this role as an Advice Quality Assurance Technician offers a meaningful career path in the dynamic financial services sector.
StudySmarter Expert Advice🤫
We think this is how you could land Advice Quality Technician in Bromsgrove
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial services sector, especially those who work with IFAs. A friendly chat can lead to insider info about job openings that might not even be advertised yet.
✨Tip Number 2
Prepare for interviews by brushing up on your technical knowledge and FCA regulations. We recommend practising common interview questions related to advice quality assurance so you can showcase your expertise confidently.
✨Tip Number 3
Don’t forget to follow up after interviews! A quick thank-you email can keep you fresh in the interviewer's mind and show your enthusiasm for the role. Plus, it’s a great chance to reiterate why you’re the perfect fit.
✨Tip Number 4
Apply directly through our website! It’s the best way to ensure your application gets seen by the right people. Plus, we love seeing candidates who take the initiative to connect with us directly.
We think you need these skills to ace Advice Quality Technician in Bromsgrove
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Advice Quality Technician role. Highlight your experience in financial services, compliance, and any relevant qualifications like the Diploma in Financial Planning. We want to see how your background fits with what we do!
Show Off Your Writing Skills:Since this role involves delivering clear, constructive feedback, it's crucial to showcase your written communication skills. Use concise language and ensure your application is free from errors. Remember, attention to detail is key for us!
Be Specific About Your Experience:When detailing your past roles, be specific about your responsibilities and achievements related to advice quality assurance. We love seeing concrete examples of how you've handled audits or regulatory queries in the past.
Apply Through Our Website:We encourage you to apply through our website for a smoother process. It helps us keep track of applications and ensures you get all the latest updates. Plus, it shows you're keen on joining our team at StudySmarter!
How to prepare for a job interview at Ortus PSR Ltd.
✨Know Your Stuff
Make sure you brush up on your technical knowledge of financial planning and FCA regulations. Being able to discuss these topics confidently will show that you're not just familiar with the role, but that you truly understand the intricacies involved in advice quality assurance.
✨Prepare for Scenario Questions
Expect to be asked how you would handle specific situations related to advice quality audits or regulatory queries. Think of examples from your past experience where you've successfully navigated similar challenges, and be ready to share those stories during the interview.
✨Showcase Your Communication Skills
Since delivering feedback is a key part of the role, practice articulating your thoughts clearly and constructively. You might even want to prepare a mock feedback session to demonstrate your ability to communicate effectively with advisers.
✨Ask Insightful Questions
At the end of the interview, don’t shy away from asking questions about the firm's T&C Scheme or how they support ongoing FCA regulatory activity. This shows your genuine interest in the role and helps you gauge if the company aligns with your career goals.
