Compliance, IFA/Independent Adviser, Paraplanner
£25,000 to £35,000 Per Annum
Due to expansion this Financial Planning Practice are looking to recruit a Compliance officer / Paraplanner.
Salary up to £35,000 depending on experience
- Be a point of contact for Adviser queries.
- Implement and maintain the company compliance procedures
- Be responsible for pre-sale checking and monitoring.
- Ensure and monitor ongoing T&C for the advisers
- Ensure that all company policies and procedures are adhered to.
- An understanding of FCA regulations and guidelines relating to financial services clients
- Assess new client’s objectives and carry out research to identify suitable solutions to meet client’s needs in line with an adviser’s recommendations and requests.
- Discuss cases with adviser and pro-actively update the adviser throughout.
- Carry out financial analysis to draft recommendation reports/letters for review and sign off by the advisers.
- Prepare all relevant paperwork for client meetings.
- Prepare and compile financial analysis, experience of Cashcalc, Selectapension, Intelligent Office, FE Analytics & Synaptics are preferable but full training will be given.
- Liaise with product providers and other relevant third parties.
- Ensure that all client requirements are followed through to the appropriate conclusion.
- Ensure thorough knowledge of product research and analytical tools.
- An understanding of FCA regulations and guidelines relating to financial services clients.
The candidate must have experience in working in Financial Services and hold the level 4 qualification or working towards it.
The role may offer scope for progression and the company is prepared to support progression through further financial services qualifications.