NJR Recruitment are proud to have been instructed to work ’exclusively’ and in Partnership with an established and well respected firm of Independent Financial Planners based in Telford. An exciting opportunity is now available for a Level 4 Diploma Qualified individual to form part of their professional team in the capacity of Practice / Compliance Manager. Working alongside another Compliance professional in the business, this role is likely to be more heavily focussed around Practice Management in the interim and will more into a more heavy Compliance role over time.
Daily duties consist of :
o Level 4 Diploma Qualified (pre-requisite)
o Observe and provide feedback to advisers
o Support and develop
o Supervise a team with various experience and skills and complete 1-1’s as required.
o Summarise findings to discuss at Compliance meetings
o Any findings of non-compliance or issues that could cause client detriment need to be reported
o Comply with the Financial Services and Markets Act 2000 and the relevant FCA rules at all times.
o Comply with the relevant compliance, TCF, T&C and, financial crime (anti-money laundering, data security, anti-bribery, fraud and corruption) procedures of the company at all times.
o Keep up to date with all relevant product, legislative and technical changes, as required.
o Follow appropriate ethical standards within the company at all times
o Preparing 1:1 documents for Advisers
o Organising sales meetings
o Helping to establish specific processes
o File Reviews
o Dealing with monthly payroll
o Income reconciliation - Gabriel returns
There is flexibility - therefore should someone need to work a four day week then this is something that our client could accommodate. Hybrid is also on offer however someone within a reasonable commuting distance to the office in Telford is necessary.
Candidates MUST have CII Level 4 Diploma.
NJR 15295