Our client is looking for a COMPLIANCE PARAPLANNER to join the team. This role will be based on the outskirts of Horsham. Our client are a global leader and have been disrupting the industry!
Role: COMPLIANCE PARAPLANNER
Salary: Up to £40,000
What does the company do?: They provide centralised and customised IT solutions & integrated support for financial planners and wealth managers.
Overall purpose of the Job
As a Compliance Paraplanner, you will have the opportunity to create and maintain the suite of suitability reports used by Appointed Representatives (AR's) of the network. The provision of suitability letter templates will support AR's in delivering financial advice to their clients in a compliant manner.
Skills, Knowledge and Experience
− Minimum 3 years Financial Services industry experience, including previous paraplanning experience.
− Excellent knowledge of retail investment, savings, pension and protection products.
− Excellent knowledge of suitability report content, format and requirements.
− Prior experience of drafting suitability letters.
− Ability to communicate with others confidently whilst remaining flexible/adaptable.
− Highly developed analytical, observational and written communication skills.
− Excellent attention to detail.
− Strong organisational skills.
− Proficiency with using various software packages, such as Microsoft Excel and Word.
− Significant progress towards the achievement of a level 4 Diploma Qualification.
− Become Subject Matter Expert on the internal system that will allow for a complete and compliant suite of suitability report templates for use by the Network AR Firms.
− Research key aspects of financial products and be able to apply the information to differing advice scenarios.
− Awareness of industry changes to suitability report requirements.
− Proactive management of the content within the system to ensure periodic review and update of content.
− Take on quality assessment tasks and projects as requested by the Quality & Risk Team Leader, such as but not limited to file checking, report analysis and the creation of Management Information.
− Complete tasks to a high standard, and apply initiative to accommodate for wider issues.
Compliance Paraplanner 2
− Co-ordinate and deliver training on this system to Member Firms and other Quality & Risk Team Members as and when required to support and enhance the quality of suitability reports.
− Significant experience within the financial services, preferably in an investment or insurance environment with a good understanding of FCA/PRA regulatory expectations and compliance requirements.
− Senior paraplanner experience
To be considered for this position, APPLY NOW! Due to the high interest in this position we can only get back to those who have made the shortlist .