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File Reviewer/ Advice Technician

  • Salary: Negotiable
  • Location: Bromsgrove, Worcestershire
  • Sector: Compliance
  • Job type: Permanent
  • Date posted:
    01 Jul 2021
  • Job reference: 35853

A national IFA practice, with an outstanding culture, vision and values. Looking to grow the business rapidly due to ongoing acquisitions.

This is an opportunity to work in a flexible manor both at home and in an office environment
Reporting to: Advice Assurance Manager.


  • 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
  • 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 as part of the file review process and referral to Advice Assurance Manager/Deputy Advice Assurance Manager, 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 ensuring accurate and timely recording concessions
  • Completing regulatory industry update summaries as and when required
  • Maintaining a good level of knowledge and technical understanding of all financial planning concepts and regulatory focuses through the completion of annual CPD
  • Involvement with project work as directed by Advice Assurance Manager/Deputy Advice Assurance Manager
  • 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
  • Good communications skills, with the ability to provide 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 the department
  • 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

Key Performance Measures

  • All functions conducted within set SLAs
  • Good quality MI in relation to tasks conducted
  • Adviser feedback
  • Feedback from Advice Assurance Manager
  • Feedback from Deputy Advice Assurance Manager
  • Feedback from Senior Advice Technicians
  • Feedback on thematic analysis throughout the department and the business
  • Further qualifications taken

Stakeholders (Internal/External)

  • FCA
  • Bankhall - External Auditors
  • Advice Assurance Manager and Deputy Advice Assurance Manager
  • Senior Advice Technicians
  • Group Head of Advice
  • Group Head of Supervision
  • T&C Supervisors
  • IFAs
  • All departments

Visit the IDEX Consulting Ltd website for further opportunities. We value diversity and always provide guidance based on merit. Please note that the information supplied may 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.

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