Compliance Coordinator
3 days ago
We are a reputable financial planning firm committed to providing high-quality advice to individuals, families, and businesses.
Job Role:
This is an exciting opportunity for an experienced Paraplanning Specialist to join our team and contribute to delivering exceptional client outcomes.
Main Responsibilities:
- Collaborate closely with the MD and team to ensure client projects are completed efficiently.
- Produce detailed review documents and suitability reports, applying your technical expertise.
- Research product suitability and services using relevant tools, ensuring our clients have access to the best options.
- Support the development and adherence to the Company Central Investment Proposition, aligning with regulatory requirements.
- Finalize technical paperwork for presentation to clients by Advisers.
- Maintain regular communication with Providers, Advisers, Clients, and Administrators to facilitate business operations.
- Update registers and logs on a regular basis.
- Address client issues proactively, aiming to achieve satisfactory resolutions.
- Stay informed about legislative changes, attending seminars and meetings with consultants to enhance your knowledge and skills.
- Implement effective compliance procedures, collaborating with colleagues and the Compliance Officer to maintain regulatory standards.
Requirements and What We Offer:
To be successful in this role, you should possess:
- Prior experience as a Paraplanner, preferably within the financial industry.
- Advanced technical knowledge across various areas, including financial planning and regulation.
- Familiarity with Microsoft Office applications (Word, Excel, Outlook) and industry-specific software systems like Cashcalc and FE Analytics.
Our Salary and Benefits:
- A competitive salary of circa £40,000, based on experience.
- An attractive benefits package, including 25 days of annual leave plus bank holidays.
- Parking facilities available on site.
- Access to a comprehensive pension scheme and death-in-service benefit.
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