If you're interested in this position, please call me on 01179 304820 or e-mail me at Katie.Mihaylov@reedglobal.com
-Making sure the firm maintains accurate, detailed and up to date records as per the company’s procedures
-Keeping up to date with the necessary regulatory requirements
-To comply with the Financial Services and Markets Act 2000, the FCA Statements of Principle & Code of Practice and the relevant FCA rules at all times.
-Ensuring all dealings with clients and colleagues are carried out in a professional and courteous manner
-Reporting to the firm’s senior management team on a regular basis on all relevant issues.
-Providing supervisory support to the Paraplanning Team in the form of training, coaching and identifying training needs of staff in all aspects of the paraplanning role.
-To undertake sufficient market and product research when required
-Making sure compliance checks are followed up by liaising with consultants where required
-To understand the need for confidentiality of information and will deal with personnel issues appropriately and sensitively.
-The requisite technical knowledge and qualification, Level 4 Diploma or equivalent
-Broad base of compliance knowledge
-Understanding the need to provide advice to clients in a compliant manner as detailed in the firm’s Business Manual and procedures.
-Detailed knowledge and understanding of the firm’s procedures including record keeping requirements.
-Good understanding of other relevant legislation, including that related to financial crime
Reed Specialist Recruitment Limited is an employment agency and employment business