My client, a very well established Independent Financial Advice practice which has been running for over 17 years specialising in providing advice on investment strategies, pension planning, tax planning strategies, estate planning and mortgages, is now looking for an experienced Operations Manager to join their growing team.
Within the role, the successful candidate would be taking overall responsibility for managing the Business and ensuring the firm remains compliant in an ever changing world of Compliance. This will include working with the firm’s external Compliance Provider (currently Bankhall) to keep the firm’s internal Compliance Procedures up to date.
This role also requires good management skills to ensure that everyone continues to work as an efficient team.
Skills and knowledge
- Good Interpersonal skills
- Reasonable understanding of IT Systems (Specific Training will be given).
- Good written and oral communication skills.
- Good methodical and organisational skills.
- Accurate with good attention to detail
- Ready to ask questions to ensure responses received are accurate
- Detailed knowledge of the FCA’s and the firm’s record keeping requirements.(Training will be given where appropriate)
- Basic knowledge of the financial services sector.
- Knowledge of the following software packages: Microsoft Outlook, Excel, Word
- 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 to provide clients with a professional ongoing financial planning experience.
- Become an expert on processes and systems and not be afraid to recommend improvements and encourage this throughout the firm.
- 1:1 meetings to review KPI’s with Advisers
- Set up and maintain systems to ensure staff reviews are undertaken and recorded correctly
- Help to create action plans for adviser training and monitor the adviser’s progress.
- Ensure the Compliance Monitoring Diary is followed and actions implemented accordingly
- Ensure the firm’s documentation is kept up to date and relevant amendments are made as necessary (reference Bankhall updates).
- Review and provide feedback to the Partners on the regular compliance bulletins at the Monthly Partner Meetings.
If you would like more information on the role please don,t hesitate to contact us.
- Investment Strategies