Advice Technician

IDEX Consulting Ltd
16 Jan 2019
30 Jan 2019
Contract Type

Chartered IFA practice, who have grown through acquisition are currently looking to appoint an Advice Technician to the growing offices in either Birmingham or Bromsgrove.


  • 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 Coordinator 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 and regulatory administration for recording
  • Completing regulatory industry update summaries for dissemination to the Advice Assurance Coordinator
  • 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

Please visit the IDEX Consulting Ltd website for further opportunities. If your application is successful, we aim to contact you to discuss the opportunity in more detail within 2 working days. Due to the overwhelming application response we receive through various sources, should you not hear from us within one week then please assume your application has been unsuccessful. If your application is unsuccessful, the information supplied may still be retained for up to 3 years for use in connection with future vacancies. For full information on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy.