IFA Compliance Technical Specialist

An IFA Compliance Technical Specialist is required by one of the most highly regarded independent financial planning firms in the country. The role would suit an experienced compliance specialist or paraplanner who has completed, or is near to completing, the Level 4 Diploma.

The key responsibilities of the role are as follows:

  • Review and approve high risk written advice ensuring it is suitable, compliant and appropriately communicated
  • Communicate any remedial work on written advice to the relevant consultant effectively and efficiently
  • Provide guidance to Directors, Consultants and support staff on technical and advice issues
  • Undertake periodic reviews of past business files and agree remedial action plans
  • Undertake ad hoc file reviews as required
  • Assist in the research, assessment and maintenance of the Company’s approved Investment and Product providers
  • Assist in the production and maintenance of standard advice templates
  • Assist in the training of Consultants and support staff on technical matters where requested
  • Review and approve financial promotions per FCA guidelines
  • Assist the Compliance Officer, where requested, in the preparation of Management responses to complaints and liaise with Legal Counsel and the Financial Ombudsman
  • Assist with ad hoc project work as and when required

You will be CII Level 4 Diploma qualified (or be close to completing) and have strong experience in an IFA environment, either in a Compliance, Paraplanning or Technical role. You will have a good working knowledge and understanding of FCA rules and procedures, whilst any experience of employee benefits would be advantageous. You will possess excellent communication skills, have the ability to effectively manage your own time and also demonstrate excellent attention to detail.

We offer what we believe is the best Candidate Referral Scheme in the Midlands market. Refer a friend or colleague to us and receive up to £500 in cash if we assist them in securing a new role. Contact us for more details.


Salary:£30000 - £35000 Per Annum + benefits


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Willow Resourcing, 2nd Floor, 3 Brindley Place, Birmingham, B1 2JB.