Advice Quality Assurance Technician – Bromsgrove, West Midlands | Hybrid | Competitive Salary up to £50,000 + Bonus
Sector: Financial services / IFA / Compliance / Advice quality assurance
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
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