This expanding Wealth Management firm is looking for a Compliance and/or T&C professional to join their team, supporting the Operations Manager with day-to-day activities. This is an excellent role for a hands-on T&C professional who is comfortable getting stuck in with various duties and pushing the wider business forward.
The role will be primarily home-based, likely visiting the Birmingham office on a weekly basis. Your role will be to work closely with the Head of Operations to ensure that all Advisor Support, Paraplanning, Regulatory, Training, and Compliance requirements are met and exceeded across their Financial Planning operations.
Duties for the role include:
Training & Competence (T&C) Scheme – Adviser Development Coordinate the development of all Advisers aligned to the T&C Scheme Meet advisers for Individual Development Meetings File Checking & File Reviews Develop and coordinate file checking and review process Paraplanner Development – Coordinate and deliver development programme for Paraplanning Team including ongoing CPD and knowledge assessment and training Monitor and develop the research panel selection for approved product providers Applications are invited from skilled Compliance/T&C professionals who can demonstrate in-depth knowledge of Wealth Management. You will have extensive regulatory knowledge and understanding and be able to communicate effectively at all levels with first-class written and verbal English. You must be able to manage a wide variety of assignments and work independently. This is an excellent opportunity to join a progressive and ambitious firm where your endeavors are recognised and rewarded. By applying for this role, you agree that we will hold and process your details in line with our Privacy Policy. Our Privacy Policy and information about how we use data can be found on our website.
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Training & Competence (T&C) Scheme – Adviser Development Coordinate the development of all Advisers aligned to the T&C Scheme Meet advisers for Individual Development Meetings File Checking & File Reviews Develop and coordinate file checking and review process Paraplanner Development – Coordinate and deliver development programme for Paraplanning Team including ongoing CPD and knowledge assessment and training Monitor and develop the research panel selection for approved product providers Applications are invited from skilled Compliance/T&C professionals who can demonstrate in-depth knowledge of Wealth Management. You will have extensive regulatory knowledge and understanding and be able to communicate effectively at all levels with first-class written and verbal English. You must be able to manage a wide variety of assignments and work independently. This is an excellent opportunity to join a progressive and ambitious firm where your endeavors are recognised and rewarded. By applying for this role, you agree that we will hold and process your details in line with our Privacy Policy. Our Privacy Policy and information about how we use data can be found on our website.
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