Our client is one of the South East’s leading firms of Financial Advisers, and are looking for a Compliance Professional to assist their Compliance Director.
The candidate will be involved in assessing and checking the advice provided by the advisory team.
This means the candidate must be highly experienced in the advisory process and have extensive experience of suitability report production, ideally with knowledge of Trusts, IHT Planning, Pensions, Investments and Wealth Management.
You will be assessing the work being produced for their clients and ensuring their 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 will also be involved in assisting with the technical training of staff.
The candidate may be required to run ad hoc projects reviewing the needs of clients and ensuring they are meeting them.
Our client has a commitment to the highest levels of professionalism. The candidate will be at least Diploma (Level 4) qualified, but preferably progressing towards or qualified to Advanced Diploma/Chartered (Level 6). The company will provide support with ongoing study and will require candidates to take further qualifications to gain Chartered status and to take part in Continuous Professional Development (CPD).
Our client is looking for someone who has 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. It could also suit a candidate who has progressed from Paraplanner to Adviser but is looking for a more technical role.
This is a full time employed role with the potential for an annual discretionary bonus, pension scheme membership (with a 5% employer contribution, increasing after 5 years’ service), Group Life cover (4 x earnings) and Group Income Protection cover. Salary is negotiable based on experience.
Email your CV to : firstname.lastname@example.org