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Anthony Alexandra
,
Faversham, Kent
Paraplanner / Compliance Officer
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Job Type: Full-time |
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Salary: £30,000 per annum |
Overview
Our client, a leading provider of wealth management services has an immediate opening for a Compliance Consultant / Paraplanner responsible for contributing and developing a positive compliance culture across the company. Role Responsibilities The successful candidate will be responsible for supporting the Compliance Manager, assisting with onsite compliance reviews and tailoring compliance monitoring plans Conduct compliance induction, monitoring and investigation ensuring consumer satisfaction. In addition you will be responsible for attending client meetings with Financial Advisers and writing letters, reports, recommendation letters You will be assessing the work being produced for our clients and ensuring our high standards are maintained The candidate will be required to provide technical support and assistance to the advisory team and so a good knowledge of current legislation is necessary The candidate may be required to run ad hoc projects reviewing the needs of clients and ensuring we are meeting them Assisting with the technical training of staff Dealing with Trusts, IHT Planning, Pensions, Investments and Wealth Management The ideal candidate will have:- Over 3 years Compliance or Paraplanning experience within an IFA environment The candidate will be at Diploma (level 4) qualified or near completing it. Support will be provided with ongoing study and will require candidates to take further qualifications to gain Chartered Status and to take part in Continuous Professional Development Recent experience of working in an IFA environment and the role may be suited to someone who wishes to progress from a Paraplanner or Senior Paraplanner position to a supervisory function This could also suit a candidate who has progressed from Paraplanner to Adviser but is looking for a more technical role Exposure to Financial Services regulatory issues This is a great opportunity to develop your career and join an award winning and highly respected organisation in an important role offering excellent prospects and a generous remuneration package.