£35,000 - £40,000 + Benefits
over 2 years ago
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.
- Previous experience in a hands on Paraplanning role
- Level 4 qualified as a minimum