Paraplanning Manager

  • Location


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  • Job type:


  • Salary:

    £35,000 - £40,000 + Benefits

  • Consultant:


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  • Published:

    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.

Key Requirements:

  • Previous experience in a hands on Paraplanning role
  • Level 4 qualified as a minimum