Current Vacancies

• Compliance Manager

  consultant: Isabelle Madams reference: DK-6516 Location: Bristol
  Salary: £40000 per Annum Contract: Permanent

  Compliance Manager (Part-Time)
  Location: Bristol
  Salary: £35,000 - £40,000 (Pro Rata)

  An excellent chance that would suit a compliance manager holding CF11/CF10 who is looking to either wind down into a part time role OR a compliance manager that currently works for several niche IFA's and is looking to grow their portfolio with another boutique IFA practice

  Responsibilities:

  To monitor all controlled functions including Training and Compliance
  To be the FSA approved person at the practice

  Qualifications:

  CF10 / CF11 approved person

  Add to Folderreference: DK-6516

• Training and Compliance

  consultant: James Rendell reference: JR-6923 Location: Surrey
  Salary: £40000 per Annum Contract: Permanent

  Business Quality Executive
  Location: Surrey
  Salary: £35,000 - £40,000 dependent on qualification and experience

  This presents an exciting opportunity working with the Employee Benefit Teams of an established Financial Services organisation to develop compliance procedures needed for an RDR ready business

  Job Responsibilities

  Contributing to the induction process for new Partners and staff, including skills assessments and analysis of training needs
  Undertake live and role-play observations and assessments with new and experienced Partners of the firm
  Deliver the Partner Risk ratings and deal with any action required or identified
  Delivering training programmes for Partners and staff in product knowledge, sales skills and company procedures
  Assist Partners in reaching Diploma by the end of 2012
  Developmental and remedial coaching of Partners to ensure performance improvement
  Reporting to the head of Training and Development concerning the application of field-based Compliance, T&C requirements, and Partner development
  Implementing corrective actions as identified and reported by the central, specialist Compliance functions
  Ensuring all record-keeping requirements for T&C/Compliance are completed and maintained
  Facilitating elements of the Company Induction Programme
  Managing relationships with all departments of the firm
  Encourage the sharing of best practice, teamwork and the alignment of complimentary skill sets between Partners, Para planners and PA support for the purposes of fee and commission sharing
  To provide and manage the development and training of all Paraplanners and Researchers in alignment with the regulatory requirements of the company and with the Partners' business plans
  To comply with all applicable FSA rules and requirements relevant to the role and adhere to the Compliance Manual and T&C scheme within the Partner office
  To participate in appropriate company and departmental training, competence and development initiatives
  To continuously meet, the regulator's fit and proper requirements
  Full Driving License required as the role is likely to involve some travelling

  Skills

  Excellent knowledge of the advice and sales process
  Detailed knowledge of the FSA and its various functions
  An excellent understanding of the Employee Benefit business
  Firm understanding of the importance of business, personal and colleague development
  Able to learn and support Employee Benefit Teams software propositions
  Able to use software applications (e.g. Word, Excel, Research/Analysis tools)
  Communicate exceptionally well with all staff, managers and partners across the board

  Qualifications

  Full certificate in financial advice
  Diploma in Financial Services
  Experience of working within a training and compliance role within an IFA firm
  Experience of Intelligent Office, Project Management and Process Design
  Any relevant coaching or training qualifications desirable
  Experience of working within an employee benefit team

  Add to Folderreference: JR-6923