Advice Technician

NJR Recruitment
29 Jul 2017
31 Aug 2017
Contract Type
Full Time

Advice Technician

Location: Birmingham

Our client is an integrated Independent Financial Advisory and Wealth Management firm, who now have an excellent opportunity for an ambitious and talented Advice Technician to join their large offices based 30 minutes outside of Birmingham City Centre.

You will be conducting advice audits both on a pre-submission and post-submission basis, in line with the firm’s T&C Scheme; whilst 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 as well as assisting with past-business auditing.


  • Delivery of informative and constructive feedback to IFA’s in connection with audits and stage 2 pre-approvals
  • Identification of potentially unsuitable advice cases and phase 2 pre-approval declines and referral to Advice Assurance Co-ordinator
  • 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, and referral to Advice & Regulatory Administration for recording
  • Maintaining a good level of knowledge and technical understanding of all financial planning concepts and regulatory focuses through the completion of annual CPD


  • 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

Our client is looking for someone with a can-do attitude, who can deliver a first class service to clients as well as having the ability to build strong relationships and displaying professionalism at all times

For further information please contact one of our specialist consultants quoting REF:NJR6529