Compliance Advisor Technician

Purpose

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. Provide an integral component of the advice audit framework ensuring adherence to the firm's overarching principles and guidance to ensure robust advice files which meet regulatory standards and demonstrate consistently good client outcomes.

Responsibilities

• Enhance advisory outcomes and solutions through oversight of range of financial planning cases.
• Provide clear and considered professional judgement and decision on cases which carry the potential for a higher risk impact to client, firm and advisers.
• 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.
• Occasional inclusion in project work, assisting in the development of advice policy and regulatory processes across the business.
• Completing/checking regulatory industry update summaries and technical articles where required.
• Provide support to the Head of Compliance and wider compliance team on advice quality matters as needed.
• 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 Scheme.
• Completion of assigned tasks, ensuring that internal SLAs are adhered to.
• Contribution and participation in Advice Guidance discussions.
• Provide valued input into the technical and regulatory development of advisers and staff as required.

Experience, knowledge and qualifications:

• Chartered Financial Planner status or actively working to final stages of becoming Chartered
• Commitment and willingness to pursuing further professional qualifications relevant to the role.
• Demonstrate excellent knowledge and strong interest in the personal and corporate financial planning principles and regulatory requirements
• Experience in the quality of advice including providing constructive scrutiny and feedback of case files including KYC, research and Financial Planning Reports
• A decisive nature giving the ability and willingness to make thorough and well-informed decisions in relation to advice cases that present a high risk to the business
• Excellent written and numerical skills and an exceptional communication style
• Ability to prioritise and manage workflow in a fast-paced environment
• Aptitude in Microsoft Office, cashflow analysis and knowledge of research systems is preferable

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