Candidates preferably would be level 4 (diploma) qualified or working towards it and ideally with experience in occupational pension schemes and in quality assurance in relation to the suitability of advice. We will accept CV’s from someone who is experienced in a similar role and willing to study for exams
Chartered Insurance Institute (CII) Certificate in Financial Planning or Equivalent (essential)
ICA Certificate in Compliance or other compliance qualification (desirable)
CII ‘Financial Services Regulation and Ethics [R01]’ (desirable) (Essential within 12 months of appointment)
Experience within a Regulated Financial Services Company for at least 12 months is essential.
A compliance or paraplanning role within a regulated firm is desirable.
Working knowledge of the FCA Rules.
Awareness of the rules and regulations of other relevant bodies (e.g. JMLSG, FATF, ICO).
Working knowledge of the On-Line Partnership Group Compliance Manual (training given).
Working knowledge of the financial services industry, products and risks.
Working knowledge of a Compliant Sales Process and Disclosure requirements.
Demonstrate sound analytical skills with high attention to detail.
Demonstrate sound IT Skills with particular regard to Word Processing, Spreadsheets and Email.
Demonstrate good report writing skills, including the use of plain English.
A confident individual possessing a sound systematic and methodical approach to work while under pressure is essential.
The ability to communicate at all levels, in person and in all media types, sensitively and effectively.
Ability to work independently and on their own initiative, and as part of a team.
Commitment to continuing professional development.
Customer focussed, understanding the views and needs of others.
In return this fantastic opportunity is offering a salary of £27,000 – £39,000 a year with a very competitive benefits package