Compliance Manager – to £70,000 – City of London based

Compliance Manager – to £70,000 – City of London based
We are very pleased to be working with this very well established and growing IFA practice who wish to appoint a key role within the firm.
The key requirement for this role is that the person must have worked within an IFA practice either currently or in a previous role for at least three years and ideally have at least five years compliance experience. The are also seeking a candidate who is Diploma qualified and progressing further with qualifications.
The key responsibilities in this role are:
• Dealing directly with the regulator
• Have the interpersonal skills required to deal and work co-operatively with the firm’s clients, advisers and staff and work on your own initiative
• Maintain compliance manuals and keep up to date with regulatory developments
• Handling complaints
• Assist with notifications to the regulator and handle MiFID reporting
• Undertake file checks and ensuring remedial work is completed
• Maintain competency testing for the firm’s RIs
• Providing technical support for the firm’s staff when required
• Reporting to the partners on all activities
This is a superb opportunity to take a major role and established your compliance career.

Apply to mail@jamesassociates.co.uk

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Practice Manager/Operations Specialist

Practice Manager/ Operations Specialist
Financial Planning/Wealth Management firm
Mayfair, Central London
c. £50,000 + quarterly bonuses

This established firm is seeking to hire a born organiser who can consolidate and enhance the operational building blocks to enable them to expand. Any financial or accountancy/legal background would be suitable as long as you have a lot of operations experience and have worked in a role requiring superior organisation skills, a real eye for detail and working with sequential processes. A reasonable understanding and appreciation of the regulatory/procedural requirements such as money laundering that financial firms are strictly bound by is also required. A bit of life experience would be useful too so you can have a grasp of the their clients’ needs and someone who is warm, positive and can make a connection with the firms’ client would fit in well.

The key points that make this firm an interesting proposition are:

• A trusted business managing money for HNW clients – typical balances £600K to £2.5M per client.
• Firm is directly authorised via the FCA.
• Working closely with the owner of the business and you will have every opportunity to work on processes and improving standards etc. and make a real contribution.
• Chance to make a difference without the bureaucracy of a large firm.
• Full training provided.
• Opportunity to grow the role. Into other areas and play a much bigger part in the future.

The firm is prepared to pay a high salary, up to £45,000 + quarterly bonuses and maybe more for the right individual. Please contact us if you would like to discuss this role or receive further information.

Apply to mail@jamesassociates.co.uk
By sending us your information, you acknowledge that it will be held and processed by James Associates Recruitment Ltd, and you consent to our using your contact information (including your phone number and email address) to process your application and contact you to discuss recruitment opportunities.
James Associates Recruitment Ltd Privacy Policy can be found here.

Paraplanner – Hertfordshire

Paraplanner
Hertfordshire
c. £45K + Bonus
Flexible to work partly from home
I am seeking an experienced paraplanner to join a busy successful financial planning business based in Hertfordshire. The position really requires 3-5 years paraplanning experience with Diploma qualification as a minimum and DB pension transfer experience.
The role will be to provide full technical support to advisers in the team and oversee the administrative feed into case planning so requires experience in pension transfers, fund switches, critical yield calculations, and cash flow analysis. Knowledge of CGT, IHT planning, trusts and intergenerational wealth is desired.
This is a great opportunity with a really nice working environment and competitive salary and bonus on offer.

Apply to mail@jamesassociates.co.uk

By sending us your information, you acknowledge that it will be held and processed by James Associates Recruitment Ltd, and you consent to our using your contact information (including your phone number and email address) to process your application and contact you to discuss recruitment opportunities.

James Associates Recruitment Ltd Privacy Policy can be found here.

IFA Administrator – City

IFA Administrator
To £35,000 + Bens
City
This established and expanding IFA prides itself on delivering outstanding results for their clients by encouraging and developing their staff, using advanced technology and providing a collaborative environment.

This role would suit a motivated individual comfortable with administration but also happy to undertake some optional paraplanning responsibilities too if so inclined.

Specific responsibilities will involve back office administration, valuations and portfolio reports, research for advisers, liaison with clients and if suitable, producing suitability reports based on client needs and attitude to risk.

Opportunity for progression and development is excellent and the company is committed to personal development.

Experience of Intelligent Office, Wraps, Avelo, paraplanning on line, Financial Express Analytics would be advantageous.

Progress towards Diploma would be an advantage but is not necessary.

Apply to mail@jamesassociates.co.uk

By sending us your information, you acknowledge that it will be held and processed by James Associates Recruitment Ltd, and you consent to our using your contact information (including your phone number and email address) to process your application and contact you to discuss recruitment opportunities.

James Associates Recruitment Ltd Privacy Policy can be found here.

 

IFA Client Administrator – City

 

Ref: 1843
IFA Client Administrator
Central London
£28,000
This is an excellent opportunity to work for one of the most established and respected names in the industry. The firm, as a whole, offer a range of financial services to their wealthy clients and this position is based in their wealth management advisory team.

You will be a key member of the team and will work on various aspects of the day to day operation of the business. Duties are varied and will include submitting new business, preparing client information and valuations and performance data for meetings, researching the market place using the Exchange and other tools, obtaining illustrations, managing workflow with Adviser Office and other administration matters.

There will be a great deal of contact with clients, product providers and investment companies in this role as well as liaising with other key internal departments such as compliance and paraplanning.

This is a highly professional organisation that wish to hire the best and the successful candidate will be presentable, organised and hard working with excellent interpersonal and communication skills. A keenness to work with numbers and a good level of IT knowledge is also essential.

The company’s ideal background is someone who has worked within an IFA practice, has made some progress with industry exams and can use Adviser Office.

Paraplanner – City

Paraplanner
City
to c. £50,000
Seeking an experienced paraplanner to join a sophisticated financial planning and investment management business.
This role will report directly to the division head and will support several financial planners working with the company’s highest profile clients.

Responsibilities:
Provide appropriate support for financial planners
Produce new business reports and reviews
Understand and comply with regulations and principles
Analyse client’s aims and needs to construct appropriate solutions
Production of robust financial plans and analytical information
Support preparation of client review and new client meetings.
Support client delivery under the guidance of financial planners.

Requirements:
Broad understanding of core financial planning solutions
Actively develop product and industry knowledge.
Level 4 Diploma in Regulated Financial Planning or equivalent.

By sending us your information, you acknowledge that it will be held and processed by James Associates Recruitment Ltd, and you consent to our using your contact information (including your phone number and email address) to process your application and contact you to discuss recruitment opportunities.

James Associates Recruitment Ltd Privacy Policy can be found here.

Senior Administrator – Central London

Senior Administrator
£Negotiable Bens Bonus
Central London
This established and extremely friendly IFA practice is seeking to hire an experienced administrator to join their team. In addition to the basic salary, the firm also has a bonus scheme and a good benefits package.
This is a new role due to expansion and they offer career progression and totally support and encourage industry exams for all employees.

Specifically the role with involve:
Entering new business onto IRESS/Adviser Office
Working with platforms
Preparing and completing review packs for the paraplanners
Create cash flow plans using Voyant
Prepare projections and reports using Selecta Pension
General client administration
Preparing for client pension clinics
Pensions administration including some auto enrolment

You will need:
At least two / three years’ experience gained from an IFA firm
Enjoy working in a small working environment where you may be required to turn your hand to new things
Be familiar with using platforms
Some exposure to auto enrolment would be useful

By sending us your information, you acknowledge that it will be held and processed by James Associates Recruitment Ltd, and you consent to our using your contact information (including your phone number and email address) to process your application and contact you to discuss recruitment opportunities.

James Associates Recruitment Ltd Privacy Policy can be found here.

 

Paraplanner – Essex

Paraplanner
Essex
To £40,000 + Bonus / Benefits
This successful accredited Essex based financial planning practice is seeking an experienced paraplanner as a result of continued expansion. The firm offers high quality financial planning advice to business owners, directors and senior executives, pre and post retirement.
The role is intrinsically the senior paraplanner in the company with the view to taking on greater responsibilities and supervising the paraplanning and support team in the future. There could also be progression to advising if desired. This is a fast growing and successful firm with lots of opportunity for career development

Responsibilities include:
Working closely with the directors assisting with data gathering, analysis and research
Production and implementation of financial plans
Client review work
Attending client meeting
Ensuring adherence to compliance procedures
Supervision of staff
Ensuring work flow and quality
Improving and implementing procedures and processes, compliance and ad hoc projects.

You will need:
Demonstrable experience of working as a paraplanner
Diploma level 4 as a minimum
Strong technical knowledge in the areas of pensions, taxation and estate planning

By sending us your information, you acknowledge that it will be held and processed by James Associates Recruitment Ltd, and you consent to our using your contact information (including your phone number and email address) to process your application and contact you to discuss recruitment opportunities.

James Associates Recruitment Ltd Privacy Policy can be found here.