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Compliance Assistant & Paraplanner Support (Part Time), Waltham Cross
Client: Heat Recruitment
Location: Waltham Cross, United Kingdom
Job Category: Other
EU work permit required: Yes
Job Reference:
e71b5bf5a8d8
Job Views:
11
Posted:
26.04.2025
Expiry Date:
10.06.2025
Job Description:
Location: WALTHAM CROSS
Salary: £40,000 - £45,000
Type: Permanent
Workplace: Hybrid
Ref: 87657
This is a highly reputable IFA practice that offers holistic financial planning and discretionary fund management services to HNW clientele. The practice has a range of loyal clients that wins business through word-of-mouth, referrals, and repeat clients, and has experienced consistent business growth over the last couple of years with high client retention.
The firm has a friendly working environment, reflected in low staff turnover, with most staff having worked there for many years.
This position will suit a Level 4 Diploma qualified individual with a Compliance background, working alongside the Compliance Director to provide high service levels to clients. It will also involve some crossover with the Paraplanning team to assist with non-client facing tasks.
Role Responsibilities:
1. The position will provide support in compliance, money laundering, and data protection areas of the firm.
2. Undertake due diligence of funds and providers.
3. Post-sale file checks on investments, pensions, insurance products.
4. Data reporting and management.
5. Aid training and competence of staff based on data and information gathered.
6. Ensure delivery of GDPR requirements.
7. Undertake annual Sanctions Checks on the client bank.
8. Produce AML/Fraud/Consumer Duty reports to aid board reporting.
9. Implement new regulation changes.
Where required, support will also be provided to the Paraplanning team (training provided), including:
1. Preparation of client valuations & asset allocations.
2. Assisting with meeting paperwork.
3. Preparation of quotes and provider/product research.
The ideal candidate will:
1. Have experience working within Financial Planning in a Compliance position, with knowledge of money laundering and due diligence.
2. Hold a Diploma Level 4 qualification at minimum.
3. Have a comprehensive understanding of technical aspects of financial services and products.
4. Be familiar with systems such as Xplan or similar, and investment platforms.
5. Live locally to Waltham Cross.
Company Benefits:
* Company-wide annual bonus.
* Flexible working hours and additional days considered.
* Private Medical Insurance.
* 8% employer pension contribution without matching.
* 40% of working week WFH.
* 25 days holiday plus bank holidays (FTE).
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