Paraplanning / Compliance Support

Posted 23 January by Reed Insurance Featured
I am working closely with a national IFA firm with a couple of specialisms, one of which is advising the teaching industry.

They now require additional support within their Paraplanning and Compliance function based in their Taunton office.

Do you hold Paraplanning experience and perhaps would like to branch out into a more technical role with exposure to the compliance elements of the business?

Ideally you will be working towards your Level 4 Diploma, financial support and study leave is included within a range of company benefits for those serious about progressing within the industry.

We are looking to short list CV’s this week and aim to set up first stage interviews for next week so please do not delay in contacting me to discuss the position in further detail!

To prepare and maintain client files

 Once in receipt of a completed ‘factfind’, collate all the relevant quantitative detailed information required to compile a financial services report.
 Check all paperwork / information is available to ensure that the client file meets the FCA’s rules and requirements.
 Review current investment portfolio, asset allocation, risk profile etc.
 Discuss the client’s needs and objectives with the relevant adviser.

To prepare recommendations

 Undertake research to identify suitable solutions to meet the client’s needs and objectives.
 Prepare information for analysis by the adviser.
 If applicable, liaise with the client’s legal and tax advisers.
 Prepare draft recommendation report.
 Discuss draft recommendation report with the relevant adviser.
 Obtain ‘sign-off’ by the relevant adviser.

To implement recommendations

 Prepare suitability reports in accordance with the agreed recommendations.
 Complete application / proposal forms.
 Ensure all compliance paperwork is in order.
 If relevant, act on any changes made by the client.
 Implement the chosen / agreed investment strategies.

This role requires 

 Excellent inter-personal skills, both written and verbal.
 Excellent report writing skills.
 Accurate with good attention to detail.
 Time management.
 Ideally you will have gained your Diploma or working towards.

In return you will recieve a strong benefits package including flexi time, parking and financial support towards professional qualifications as well as working for a growing and friendly firm. 

Please contact me today on 0117 930 4820 and email you CV and covering letter to beth.green@reedglobal.com

Reed Specialist Recruitment Limited is an employment agency and employment business

Reference: 34294922

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