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.
• 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.