Compliance Officer / Paraplanner - Financial Services
Location: Ferndown ( Hybrid options -1 day a week in the office)
Hours:
- Part-Time: Compliance
- Full-Time: Compliance & Paraplanning OR Compliance & Financial Advisor
(Flexible Hours to Support Family Life)
Salary: £35,000 - £45,000 (Based on Experience)
Reports To: Senior Partner
The Role:
A unique opportunity has arisen for an experienced a respected financial services firm based in Ferndown. Whether you prefer a part-time role focused on compliance, or a full-time position incorporating both Compliance and some paraplanning or trainee financial advisory responsibilities, this role offers flexibility to suit your needs. We recognize the importance of work-life balance and offer a supportive environment that values both your professional and personal commitments.
- Flexible Work Arrangements: Choose between hybrid or fully remote work to match your lifestyle.
- Family-Friendly Schedule: Enjoy part-time hours designed around family commitments.
- Supportive Team: Work with a close-knit group of professionals and receive mentorship from experienced leaders.
Key Responsibilities
Compliance:
- Oversee day-to-day compliance functions and ensure adherence to regulatory standards.
- Stay updated on FCA regulations and adjust company policies accordingly.
- Provide training and mentorship to advisors on compliance matters.
- Manage external audits with confidence.
Paraplanning (For Full-Time Applicants):
- Prepare comprehensive client reviews on investment and pension performance, including risk assessments and cashflow forecasting.
- Draft suitability reports for pension, investment, and protection advice.
- Conduct detailed research on pension and investment products, covering features, underlying investments, and allocations.
- Analyze data using tools like FE Analytics, Defaqto Engage, Adviser Asset, and CashCalc (training provided if required).
What We're Looking For
- Experience: Proven experience as a Compliance Officer is essential.
- Additional Experience (Full-Time): Paraplanning or Financial Advisor experience.
- Flexibility: A proactive attitude and ability to work part-time, with a flexible approach to scheduling.
- Qualifications: Level 4 Diploma in Financial Planning.
- Skills: Strong compliance expertise, alongside paraplanning skills or a willingness to learn, with proficiency in relevant tools.
Unique Opportunity!
If you're seeking a role that combines career development with the flexibility to accommodate your personal life, apply today and become a key part of our dynamic team!