The role will involve:

To manage the Paraplanning team and ensure their compliance with company standards
To report directly to Head of Compliance to ensure that they are fully aware of any Paraplanning issues.
To act in a supervisory capacity and to act as support and liaison point for advisers.
Adhere to company Compliance/TCF/Data Security/Complaints procedures.
identification of potential shortcomings against company and regulatory standards within the paraplanning process and reporting to the senior management team (SMT).
To ensure that correct procedures are adhered to within the paraplanning team regarding Data Protection, Money Laundering and the Consumer Credit Act.
To maintain the firms Defined Benefit transfer process and recommend any changes necessary.
To take an active part in management meetings as and when requested.
Maintain a good level of knowledge for reviewing and using research systems including 0&M, The Exchange, Synaptics, TVAS or other tool used by the company.
Entering of Information onto company back office system and onto platform where required to do so.
Use of product providers’ websites to send application forms, produce quotations and illustrations
Support advisers in file construction, ensuring file is compliant and ready for checking and prepare client pack ready for adviser presentation meeting.
To work directly with Head of Compliance to highlight any potential Risk to the firm.

Key Requirements:

Paraplanning Manager