Job Overview
We are seeking someone who has a passion for providing a high level of service and support to clients, alongside a strong understanding of how compliance and regulation underpins our activities.
This role is dual focused, you would work alongside the adviser team providing comprehensive administrative support, whilst working with our Compliance Manager ensuring we operate in accordance with the requirements of the FCA.
Responsibilities
1. Managing diaries
2. Preparing documentation for client meetings and annual reviews
3. Liaising with 3rd party providers
4. Dealing with client enquiries
5. Ensuring all data is recorded fully and accurately, maintaining high quality records
6. Processing new business applications alongside withdrawal and alteration requests
7. Providing a personal and professional service to every client
This administration role has the opportunity to develop over time to Paraplanning for candidates wishing to develop themselves further.
Your Compliance focus would encompass:
1. Delivering a sustainable risk-based compliance programme
2. Identifying compliance process improvements/weakness presenting appropriate solutions
3. Managing the compliance diary to ensure key business and regulatory timescales are met
4. Monitoring and maintaining regulatory registers
5. Utilising KPI and MI data to identify outcomes and drive improvements
6. Work with external file checkers to ensure good client outcomes and identify areas for improvement
7. Drafting and updating compliance procedures and policies as appropriate
8. Ensure continuous embedding of Consumer Duty across the business
9. Monitor learning and development/CPD activities across the business
10. Monitoring the induction and competency of new joiners
11. Manage regular System and Control audits
Skills, Qualifications and Experience
This is not a junior role, you will have experience within a Financial Adviser practice with a strong understanding of FCA regulation and core compliance requirements.
Completion or progress towards Diploma Level 4 qualification desirable but not essential.
Good keyboard skills with a sound knowledge of both Microsoft Office and Intelligent Office are essential.
You must have the ability to work independently and as part of a team, prioritising and planning workloads.
The ability to effectively communicate verbally and in writing is essential.
A forward-thinking attitude to the development of yourself and the growth of the business is essential to support our longevity.
A proactive approach to problem solving and process improvement is essential as we constantly strive to improve systems and methods, which we see as a team effort.
What do we offer:
1. Holiday 22 days which will increase with service
2. Additional holiday granted for the Christmas and New Year period
3. Pension scheme
4. A bespoke induction training plan designed around you
5. Continuous training and development
6. Study support
7. Contribution to examination costs and examination awards
8. Free car parking
9. Staff social events
Job Types: Full-time, Permanent
Benefits:
* Company pension
* On-site parking
* Work from home
Schedule:
* Monday to Friday
Work Location: In person
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