Location
Chelmsford (Hybrid – 2 days a week in the office)
What’s in it for you?
This is a great opportunity for a Paraplanner to make the move into Compliance.
You’ll receive full training to ensure you make the transition into the File Review team successfully and you’ll also receive full support to complete your Level 4 Diploma (if required).
You’ll also be joining a wealth management firm that’s growing quickly but sustainably. This growth is likely to create opportunities for your further career progression either within the File Review team or across the wider Compliance function.
What you’ll be doing
You’ll review pre‑ and post‑advice files in line with the firm’s T&C scheme, providing constructive feedback and support to the advice teams to deal with any remedial action quickly.
You’ll also assist with business complaint investigations and business issues and liaise with staff to resolve these in a timely manner.
In addition, you’ll keep up to date with regulatory developments and identify any issues that may impact the business, escalating as appropriate.
What we’re looking for
You’ll either have spent time in a similar file review position or in paraplanning, within the Wealth Management arena and have a good understanding of FCA principles and Conduct of Business rules.
You’ll be working towards your CII Level 4 Diploma.
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