NJR Recruitment are proud to have been instructed to work 'exclusively' and in partnership with an established and well-respected firm of Independent Financial Planners based in Telford. An exciting opportunity is now available for a Level 4 Diploma Qualified individual to form part of their professional team in the capacity of Practice / Compliance Manager. Working alongside another Compliance professional in the business, this role is likely to be more heavily focused around Practice Management in the interim and will move into a more heavy Compliance role over time.
Duties will consist of:
1. Level 4 Diploma Qualified (pre-requisite)
2. Observe and provide feedback to advisers
3. Support and develop
4. Supervise a team with various experience and skills and complete 1-1's as required.
5. Summarise findings to discuss at Compliance meetings
6. Report any findings of non-compliance or issues that could cause client detriment
7. Comply with the Financial Services and Markets Act 2000 and the relevant FCA rules at all times.
8. Comply with the relevant compliance, TCF, T&C and financial crime (anti-money laundering, data security, anti-bribery, fraud and corruption) procedures of the company at all times.
9. Keep up to date with all relevant product, legislative and technical changes, as required.
10. Follow appropriate ethical standards within the company at all times
11. Prepare 1:1 documents for Advisers
12. Organise sales meetings
13. Help to establish specific processes
14. Conduct file reviews
15. Deal with monthly payroll
16. Income reconciliation - Gabriel returns
There is flexibility - therefore should someone need to work a four-day week then this is something that our client could accommodate. Hybrid working is also on offer; however, someone within a reasonable commuting distance to the office in Telford is necessary.
Candidates MUST have CII Level 4 Diploma.
NJR 15295
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