Financial Advice - File Reviewer

Financial Adviser: File Reviewer

A fantastic opportunity to join one of the UK’s leading independent financial advisory and wealth management firms.

We have an exciting opportunity to join our existing Advice and Quality Assurance team. We are looking for those of you who wish to grow with us as a business in our Bromsgrove office with hybrid working opportunities. You will join us on a full-time, permanent basis, and in return, you will receive a competitive salary plus a range of benefits.

Key Responsibilities as our Advice File Reviewer will include:

• Conducting advice quality 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 following advice quality assessment
• Dealing with day-to-day advice and regulatory queries from other departments, undertaking research, where necessary, in order to provide informed responses
• Providing new business concessions, where necessary ensuring accurate and timely recording
• Assistance with past-business auditing in relation to FCA Thematic Reviews, as directed by Risk and T&C
• Supporting Risk and T&C in the periodic assessment of an adviser’s eligibility for CAS
• Providing assistance to the Advice Support Unit, as and when required
• Understanding of the Firm’s Advice Guidance in order to maintain and develop knowledge of the firm’s approach to providing suitable advice
• Maintaining a good level of knowledge and technical understanding of all financial planning concepts and regulatory focuses through the completion and recording of annual CPD
• Adhering to all requirements of the applicable T&C Scheme, demonstrating the ability to support Customer Care functions where necessary
• Assistance with any departmental function as required

What we are looking for in our ideal Advice File Reviewer:

• 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. Knowledge of Xplan preferred by not essential
• Ability to work with minimal supervision, understanding the importance of meeting deadlines

Benefits of working for AFH:

• Training and qualifications - We take pride in supporting and paying for our staff to undertake professional qualifications relevant to your jobs role once you have passed your three-month probation.
• Contributory pension scheme, and death-in-service benefit
• Competitive salary and annual discretionary bonus, following one year’s service.
• Health benefit scheme - including digital gym subscriptions, dental and optional treatments and alternative therapies.
• Flexible working options and competitive holiday allowance, with annual buy and sell scheme options.
• Enhanced Maternity, adoptive and paternity pay
• Loyalty bonus and additional holiday days, based on length of service.
• Employee referral bonus scheme
• Social events

With over 30 years of experience and more than 500 employees nationwide, AFH is one of the UK’s leading independent financial advisory firms.

If you are interested in becoming a part of our growing community as our File Reviewer, get in touch and click 'APPLY’ today. We look forward to hearing from you!