The ideal candidate will provide high quality financial planning support to Financial Advisers in accordance with FCA standards and our Chartered Code of Ethics, representing the company in a professional manner with honesty and integrity at all times.
*To assist in ensuring that all client files and company records are compliant in line with FCA regulations, this includes file reviews- submitting a percentage of adviser & appointed representative post sale files to our 3rd party checking company, monitoring the return, ensuring all action points are dealt with accordingly and all advisers are kept informed of developments through the adviser meetings.
*Updating the appropriate register.
*To keep abreast of and adhere to the rules within the compliance manual, through internal tests, office meetings and reading.
*To continually conduct oneself within the 6 core principles of the FCA's TCF and CII's Code of Ethics
Training & Development:
To pass annual internal mandatory tests in: Data Protection, Complaints, Anti-Bribery and Anti-Money Laundering.
To continually complete annual CPD in accordance with company and CII requirements.
To continue with ongoing technical training within the office, keeping a good working knowledge of the products and systems used.
To continue private study to work towards CII level 4, Diploma status then level 5 Chartered.
GCSE (or equivalent) English & Maths , along with at least 5 other subjects- Grade B or above.
CII level 4 diploma in financial advice.
Ideally to commence this role with at least 5 years suitability letter writing. There is a strong element of working on your own, relying on initiative gained from your experience within the industry. You be required to use your paraplanning / extracting information skills etc. unaided.
To discuss in more detail please call Jody or email
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