Compliance Advice Technician
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:
1. Enhance advisory outcomes and solutions through oversight of range of financial planning cases
2. Provide clear and considered professional judgement and decision on cases which carry the potential for a higher risk impact to client, firm and advisers
3. 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.
4. 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 Sc...