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Compliance Paraplanner, Horsham (CR-1222)

£35000 - £45000 Plus excellent benefits
This is an exciting opportunity to join one of the UKs most innovative Financial Services firms. An award-winning services company that provides compliance and regulatory support, best-of-breed technology and financial support to a range of high quality, Independent Financial Advice firms.  
 
The role:
 
As a Compliance Paraplanner, you will have the opportunity to create and maintain the suite of suitability reports used by Appointed Representatives (AR’s) of the network. The provision of suitability letter templates will support our AR’s in delivering financial advice to their clients in a compliant manner. 
 
Responsibilities:
 
• Become Subject Matter Expert on the internal system that will allow for a complete and compliant suite of suitability report templates for use by the Network AR (appointed representative) Firms
• Research key aspects of financial products and be able to apply the information to differing advice scenarios
• Awareness of industry changes to suitability report requirements
• Proactive management of the content within the system to ensure periodic review and update of content
• Take on quality assessment tasks and projects as requested by the Quality & Risk Team Leader, such as but not limited to file checking, report analysis and the creation of Management Information
• Complete tasks to a high standard, and apply initiative to accommodate for wider issues
• Co-ordinate and deliver training on this system to Member Firms and other Quality & Risk Team Members as and when required to support and enhance the quality of suitability reports
 
About you:
 
• Significant progress towards the achievement of a level 4 Diploma Qualification
• Minimum 3 years Financial Services industry experience, including previous paraplanning experience
• Excellent knowledge of retail investment, savings, pension and protection products
• Excellent knowledge of suitability report content, format and requirements
• Prior experience of drafting suitability letters
• Ability to communicate with others confidently whilst remaining flexible/adaptable
• Highly developed analytical, observational and written communication skills
• Excellent attention to detail
• Strong organisational skills
• Proficiency with using various software packages, such as Microsoft Excel and Word
 
Location: 
Horsham
Employment type: 
Employed (Full Time)
Sector: 
Financial Planning
Reference Number: 
CR-1222