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Compliance and Operations Manager - IFA

Closing date
11 May 2021

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Job Details

Summary of Position

• A senior role in a directly authorised firm, working in a growing team of Chartered Financial Planners, based within a major South West Accountancy practice.

Main Duties

• Day to day supervision of the firm's non-authorised team of administrators and paraplanners. This will include training and coaching team members, holding regular back office team meetings, monitoring performance, holding appraisal meetings and maintaining personal development plans.

• Progressing the effectiveness of back office software within the firm.

• Routinely review the firm's business processes, communicating any procedural changes to the team and ensure their effective implementation.

• Maintain the firm's compliance registers.

• Coordinate responses to any complaints received by the firm.

• Prepare FCA reports using the RegData system.

• Prepare applications to the FCA using the Connect system.

• Maintain the firm's suitability report templates, reflecting changes to taxation, legislation and guidance from external compliance consultants.

• Produce regular MI reports for the Head of Financial Planning.

• Liaise with key individuals within the firm, including the group's financial controller, IT Manager and HR Manager.

• Liaise with external Compliance Consultants.

• Implementation of action points from the firm's annual external audit.

• Prepare and coordinate the firm's annual PI insurance applications.

• Design and deliver induction courses for new starters.

• File reviews and supervision of compliant file maintenance.

Qualifications and Experience

• A minimum of 5 years previous IFA experience essential.

• Minimum Level 4 CII Diploma in Financial Planning.

• Level 6 Advanced Diploma in Financial Planning is desirable.

• Compliance experience, especially within an IFA accountancy-based firm, would be an advantage.

Essential Work Skills

• Excellent IT skills.

• Personal and professional office and telephone manner.

• Familiarity with MS Office, particularly Word, Excel and Outlook.

• Familiarity with back office software (experience of Intelligent Offfice (IO) would be an advantage).

• Knowledge of relevant FCA compliance procedures.

• Research and analysis skills.

• Able to produce high quality reports and letters, with high standards of spelling, punctuation and syntax.


• 8.45am - 5.00pm Monday to Friday, with one hour lunch.

• 25 days annual leave plus bank holidays.

• Death in service 3 x annual salary.

• Access to Westfield Rewards and Health scheme.

• 24-hour external Employee Assistance Programme helpline.

• Buy and sell holiday.

• Introducing clients and staff commission schemes.

• Employee 4%, Employer 3% rising to 4% (matched up to 6%) after 4 years' service.
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