Some firms keep doing things the same way because... that's how they've always done it. They don't improve because they don't even see the need to change.
That's not this firm.
Having assessed where they're at as a business they saw that whilst they were good, they could be better. Much better. And the MD of the business has given the compliance function the remit to make big changes.
Those ongoing improvements are contributing to better outcomes for clients. But they're also helping the culture of the business and people's enjoyment of working there.
They now need someone to join their file review team. The job is what you'd expect with a current focus on pre-sale checks. But as part of wider improvements they have introduced a more robust post-sale check process so you'll be a key part of that too.
The compliance function has grown in the past 12 months and will continue to do so. The firm aren't just adding to this team but also to their T&C team. And as the team/business grows so might your responsibilities. You'll already inherit a more junior member on the team to mentor and it's likely that the hiring won't stop with you.
The firm's IFAs are in the main experienced planners so it's more fine tuning than complete overhauls. But they do also have a small centralised team of less experienced planners, so your work will be varied.
You'll report into the new Head of Compliance. That person is an empowering boss who has brought significant improvements to the business already, but aims for more. Your voice and ideas will be an important part of that.
The IFAs are throughout the UK so this is a remote, home based position. The vast majority of 1-1s are undertaken via Teams so you'll spend your time meeting with planners, not sat in traffic. Travel expenses are in place for those rare occasions you need to meet someone.
But whilst you'll be remote you won't feel it, right down to the weekly team online get-together.
Salary is to c£45,000 (there is some flexibility but it will be dependent on the individual). There's an annual profit share (payable in January) and a benefits scheme that includes support with exams, life cover and a 5% pension contribution. And the contracted hours are 35.25 per week.
There will be a two stage interview process, both via Teams. Between stage one and two there will be a technical test but there is no pass/fail mark. That said given you'll be guiding planners you will need to have a high level of technical/process knowledge.
Once offered the firm have a thorough onboarding process including a two day on-site induction.
HERE'S WHAT YOU'LL NEED:
You'll be at least level 4 qualified and have file review experience (preferably in the IFA market).
You will be able to build positive working relationships with your IFAs and have the personality/skills to make you credible in their eyes.
As the senior person on the team you'll mentor/guide a junior member of the team. So any experience in this area is helpful too.
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