Technical Assistant - Compliance/ Paraplanning
We are currently working with a growing firm of Independent Financial Advisers who are looking to recruit a technically minded individual to assist with the Compliance and Paraplanning requirements of the Advisers. You'll also act as a technical point of contact for Advisers and their clients.
The successful candidate will come from a IFA, Paraplanning or Compliance background and will have a minimum of 3 years experience of working within Financial Planning. File checking experience will give you an advantage as this will be an important part of the role.
- Offer technical guidance to staff on suitable solutions to advice queries
- File check pre-sale cases using IO in agreed timescale
- Provider suitable guidance or commentary on pre-sale cases submitted e.g. remedial work required in light of client needs and objectives, recommendation(s) and suggested course of action
- Provide MI on pre-sale cases
- Understand and produce reports for the research software used in the business e.g. Aequos, Morningstar, Selectapension, Allenbridge, Voyant & Dynamic Planner
- Analysing data and using research tools to check solutions meet client needs and objectives
- Obtaining life, investment and pension quotations using research tools
- Carrying out all tasks in a manner consistent with compliance procedures
- Produce Suitability reports as required by the Managing Director /Practice & Compliance Director
Candidates should be Diploma Qualified or working towards this and you should have a good knowledge of Pensions and Investments. This is an excellent opportunity to join a growing business in an interesting and varied position.