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Paraplanner/ Compliance Manager

  • Cheshire, Merseyside, Warrington
  • Permanent
  • Negotiable - Suggested salary between £40-50K plus bonus and benefits

Job details.

Paraplanner / Compliance Manager

Warrington area - hybrid, all options considered

Salary negotiable - estimated (£40-50K) 

Full/ Part time considered 

Our client, a well established firm of Independent Financial Advisors based in the Warrington area, are currently looking to replace a long serving member of staff who is looking to retire this year. The role will involve Paraplanning and Compliance duties, working closely with the company's two Directors (Chartered Financial Planners) and their clients. 

The business has been established in the area for over 20 years and has built a close-knit, experienced team who work together to provide a first class financial planning service to their loyal book of HNW Clients. This company provide advice across a diverse range of case types to both private individuals and corporate clients on cases such as Pensions, Investments, Tax Planning and IHT. With this in mind, the role will be very varied and ideally looking for an individual who can fit within this and employ their technical knowledge. 

The role: 

The company are looking to add a Paraplanner with Compliance Manager responsibilities to their team. This role is a hands-on position for someone who is looking to help lead and drive the process improvements at the firm including duties such as: 

  • Collaborate with Wealth Managers and Advisors to prepare and deliver holistic financial plans for high-net-worth clients. 
  • Conduct detailed research and analysis on various financial products, investment strategies, and tax planning. 
  • Be a part of the firms centralised investment committee reviewing the make up of the centralised investment proposition meeting with current and prospective fund managers. 
  • Compliance monitoring, providing guidance on regulatory changes, signing-off new client documentation and working with the FCA.  
  • There is also an element of Risk management including updating the Risk Framework and reporting to the board on risk-related matters. 

Requirements: 

  • The company are looking for an individual with Paraplanning and/ or Compliance experience from a Financial Planning background
  • Candidates should have knowledge and experience of Pensions, Investments, Tax Planning and IHT
  • Ideally, candidates will be Diploma qualified as a minimum and studying towards (or already achieved) Chartered status. Those who have exceptional experience will be considered if they do not hold these qualifications. 
  • Strong understanding of the FCA and an ability to stay on top of ever-changing regulations. 
  • Meticulous attention to detail ensuring accuracy and compliance in all client documentation. 
  • Reasons to join: 

  • An exceptional opportunity to join a company where you will be an integral component from day 1. 
  • There will be opportunities for progression, with the right person having potential to take over the Compliance function within 12-24 months
  • Full study support including all exam and material costs, study leave etc
  • A varied and interesting role, different every day and a change from the usual Paraplanning/ Compliance roles
  • On offer: 

  • Competitive basic salary - Completely negotiable - Suggested between £40-50K but open to options
  • Discretionary annual bonus 
  • Exam and further development support 
  • Death In Service 
  • Income Protection 
  • Healthcare Cash Plan 
  • Generous Pension Contributions 
  • Flexible working options - hybrid, all options considered
  • Part time hours/ days considered
  • Sector:

    1. Financial Services
    2. Financial Planning

    David Everingham

    Director - Financial Services

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