Advice Technician

Posted 12 October by Ambridge Harris Ending soon

Financial Advice Technician (Commutable from - Bromsgrove, Worcester, Birmingham, Kidderminster)


  • Understanding of the Firm's Advice Guidance in order to maintain and develop knowledge of the firm's technical approaches
  • Conducting advice audits both on a pre-submission and post-submission basis, in line with the firm's T&C Scheme
  • Performing an assessment on specific case-types, which carry a high risk to the client, firm and the firm's IFA's at the second stage of pre-approval
  • Delivery of informative and constructive feedback to IFA's in connection with audits and stage 2 pre-approvals conducted · Assistance with past-business auditing in relation to FCA Thematic Reviews
  • Identification of potentially unsuitable advice cases and phase 2 pre-approval declines and referral to Advice Assurance Co-ordinator as necessary
  • Dealing with day-to-day advice and regulatory queries from other departments, undertaking research, where necessary, in order to provide informed responses
  • Involvement in investigations in order to determine whether breaches in the firm's processes have created any client detriment
  • Involvement in investigations into client complaints, following the firm's standard complaints procedure and formulating client final responses, where necessary
  • Providing new business concessions, where necessary and referral to Advice & Regulatory Administration for recording
  • Completing regulatory industry update summaries for dissemination to the Advice Assurance Co-ordinator
  • Maintaining a good level of knowledge and technical understanding of all financial planning concepts and regulatory focuses through the completion of annual CPD
  • Assistance with any departmental function as required


  • Diploma in Financial Planning as a minimum qualification requirement
  • Willingness to take further qualifications, as relevant to your role
  • Demonstration of knowledge and experience in personal financial planning
  • Experience in an IFA environment, demonstrating quality communications of constructive feedback
  • A high standard of written and numerical skills
  • An ability to demonstrate strong report-writing skills
  • A high level of accuracy and attention to detail
  • Aptitude in Microsoft Office

Key Risk Responsibilities

  • Completion of assigned tasks, ensuring that SLAs are adhered to
  • Contribution into technical and regulatory development of advisers and/or staff on a specific case basis
  • Contribution into technical and regulatory development of Trainee Advice Technicians
  • Thorough research conducted where necessary and decisions only made on informed basis
  • Adherence to the firm's T&C Scheme
  • Complaint and breach investigation management

Due to the high volume of applications we receive it is not always possible to respond to unsuccessful applicants. Therefore if we have not responded to your application within five days please note that on this occasion your application has not been successful

Ambridge Harris is committed to equal opportunity and diversity. Ambridge Harris will not discriminate on unlawful grounds.

Job ref: 22070

Reference: 33534168

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