Busy IFA practice are looking for an experienced Compliance individual within their friendly team. You will be supporting the compliance director and your adviser, paraplanning and admin colleagues.
Previous Paraplanning or Advice experience will also be considered.
Purpose of the role
To assist the Compliance Officer with all aspects of firm's internal systems and controls, and the FCA record keeping requirements.
Skills and knowledge
Excellent inter-personal skills, both written and verbal.
Accuracy with good attention to detail
Detailed knowledge of the FCA's rules and requirements.
Detailed knowledge of the FCA's and the firm's record keeping requirements.
Broad knowledge of the financial services sector.
High level of technical knowledge.
Keep up-to-date with new product, technical or legislative changes within the marketplace.
Comply at all times with the firm's Compliance; Training &Competence; Complaints and Data Security policies / procedures.
To ensure that the firm's clients are treated fairly at all times.
To work as part of a team alongside the firm's advisers, paraplanners, compliance officer and administrators to provide clients with a professional ongoing Financial Planning experience.
To ensure reports, letters and recommendations prepared by the adviser/paraplanner meet with the firm's standards and that of the FCA's rules & regulations, prior to issue:
Check written correspondence matches the adviser's requirements and that discussed with the client;
Ensure all enclosures match the advice/report;
Ensure the client fact find, ID verification and other regulatory documents are up to date; and
Ensure the written correspondence is proof-read.
To assist the Compliance Officer as and when required with the firm's FCA record keeping requirements and deadlines.