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Compliance Advice Quality Officer Remote / Home Based Upto £45,000 plus benefits Our client is looking to recruit an experiened individual to join their expanding compliance team, to undertake file reviews to ensure that their business is providing the highest standards of advice to their clients, in line with company and FCA regulations. Engaging with Financial Planners, Paraplanners and Administrators, you'll support the development of advice quality, maintaining the companies high standards and reputation. Duties will include: Ensuring FCA and compliance regulations are being adhered to. Pre approval and post sale file checking. Communicate review outcomes effectively. Ensure completion of remedial actions via follow up reviews. Report all breaches promptly and accurately. Guide advisers on procedures and updates. Share knowledge and industry updates with Advisers. Support T&C. Provide technical guidance to Advisers, Paraplanners and Administrators. Requirements: Proven experience of performing a similar role within an IFA environment. QCF Level 4 qualified (or close to achieving). Apply: Please send your CV immediately to or contact Stuart on 0 7 7 4 7 7 8 2 9 3 4.
Dynamite Recruitment are partnering with a chartered financial planning and wealth management firm on the recruit of a Financial PLanning Administrator to join their team, supporting a Senior Financial Advisor ! This role can offer plenty of progression if desired, and support towards qualifications As a Financial Planning Administer you will be working closely with your assigned advisor to support their workload . Duties will include: meeting arrangements, follow up meeting notes, new business processing, transfer requests. The key responsibilities include: Responding to new/existing client queries received via phone and email. Booking client meetings and completing appropriate meeting preparation. Actioning meeting notes provided by the adviser and, where appropriate, any follow up actions. New business processing and business submission. Completion of all tasks allocated via Salesforce including ad hoc tasks. Preparation and follow up on regular client reviews. Requirements: Client serving experience within a professional environment (preferably within Financial Services) Strong written and verbal communication skills at all levels Highly organised and efficient with their workload Proactive and solutions focused Office based £24,000 - £28,000 Exam support progression opportunities For more details please apply or contact Tegan at Dynamite Recruitment