This is a great opportunity for a Junior 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 qualification.
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.
You’ll review pre- and post- advice files in line with 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 produce monthly and quarterly MI to support file checking.
You’ll also keep up to date with regulatory developments and identify any issues that may impact the business, escalating as appropriate.
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 must have experience of Suitability Reports as well as the regulatory requirements involved with them.
You’ll be working towards your CII Level 4 Diploma.