MB Fitzgerald Recruitment are currently working with a leading Financial Planning organisation in Birmingham who are looking to recruit an experienced Compliance professional to work within their team. The role is to provide technical support and advice to the company's Advisers and support teams on all elements of potential risk.
We are looking for a candidate with experience of working within a financial planning business; this is essential. They may be currently working within the compliance team or alternatively could be an experienced Paraplanner looking to make a slight change. Candidates should also be Diploma qualified (or within 1 exam) and those who have completed any advanced diploma qualifications will have an advantage.
Responsibilities include (but not limited to):
- Review and approve high-risk written advice ensuring it is suitable, compliant and easily understood by Clients
- File Reviews
- Communicate any remedial work on written advice to the Adviser effectively and efficiently
- Provide guidance to Directors, Advisers and support staff on technical and advice issues
- Assist the Technical Services Manager in the research, assessment and maintenance of the firm's approved investment and product providers Assist the Technical Services Manager in the production and maintenance of standard advice templates
- Assist in the development of Advisers and support staff on technical matters where requested
- Review and approve financial promotions per FCA guidelines
- Assist with management of complaints
This is a fantastic opportunity to join a well established and reputable firm of Independent Financial Planners in the centre of Birmingham. Their modern, open plan offices are easily accessible via public transport in all directions and help to create a professional, friendly working environment. The company will pay a competitive salary and benefits package as well as providing opportunities for progression and professional development.