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Compliance Officer / Paraplanner - Telford

Reference:

VAC-32

Sector:

Compliance, IFA/Independent Adviser, Paraplanner

Salary:

£25,000 to £35,000 Per Annum

Benefits:

Full benefits

Town/City:

Telford

Contract Type:

Permanent

Due to expansion this Financial Planning Practice are looking to recruit a Compliance officer / Paraplanner.

Salary up to £35,000 depending on experience

General Responsibilities:

  • 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

Paraplanning Responsibilities:

  • 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.