At a Glance
- Tasks: Ensure top-notch financial advice quality and compliance through detailed reviews and audits.
- Company: Dynamic financial services firm with a commitment to excellence.
- Benefits: Competitive salary up to £70,000, hybrid work model, and ongoing professional development.
- Other info: Join a fast-paced environment with opportunities for career growth and impactful contributions.
- Why this job: Make a real difference in client outcomes while enhancing your financial expertise.
- Qualifications: Chartered Financial Planner status or nearing completion, with strong analytical and communication skills.
The predicted salary is between 65000 - 70000 € per year.
Purpose
To provide assurance on the quality of the suitability and documentation of advice from a 2nd line, compliance perspective. Reviewing initial and annual advice interactions and the framework that underpins them. Provide an integral component of the advice audit framework ensuring adherence to the firm’s overarching principles and guidance to ensure robust advice files which meet regulatory standards and demonstrate consistently good client outcomes.
Responsibilities
- Enhance advisory outcomes and solutions through oversight of a range of financial planning cases.
- Provide clear and considered professional judgement and decision on cases which carry the potential for a higher risk impact to client, firm and advisers.
- Undertake a programme of advice reviews forming a coherent overall advice audit framework.
- The framework will include performing enhanced post audit review assessment of advice cases and evaluation of standards.
- Occasional inclusion in project work, assisting in the development of advice policy and regulatory processes across the business.
- Completing/checking regulatory industry update summaries and technical articles where required.
- Provide support to the Head of Compliance and wider compliance team on advice quality matters as needed.
- Maintain a high standard of technical and regulatory competence and comprehensive knowledge of financial planning through consistent annual CPD activities in line with the firm’s T&C Scheme.
- Completion of assigned tasks, ensuring that internal SLAs are adhered to.
- Contribution and participation in Advice Guidance discussions.
- Provide valued input into the technical and regulatory development of advisers and staff as required.
Experience, knowledge and qualifications:
- Chartered Financial Planner status or actively working to final stages of becoming Chartered.
- Commitment and willingness to pursue further professional qualifications relevant to the role.
- Demonstrate excellent knowledge and strong interest in the personal and corporate financial planning principles and regulatory requirements.
- Experience in the quality of advice including providing constructive scrutiny and feedback of case files including KYC, research and Financial Planning Reports.
- A decisive nature giving the ability and willingness to make thorough and well-informed decisions in relation to advice cases that present a high risk to the business.
- Excellent written and numerical skills and an exceptional communication style.
- Ability to prioritise and manage workflow in a fast-paced environment.
- Aptitude in Microsoft Office, cashflow analysis and knowledge of research systems is preferable.
Technical Paraplanner in Bromsgrove employer: IDEX Consulting Ltd
As a Technical Paraplanner at our firm, you will thrive in a dynamic hybrid work environment that champions professional growth and development. We offer competitive salaries, ongoing training opportunities, and a supportive culture that values compliance and quality advice, ensuring you can make a meaningful impact on client outcomes while advancing your career in financial planning.
StudySmarter Expert Advice🤫
We think this is how you could land Technical Paraplanner in Bromsgrove
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial planning world and let them know you're on the hunt for a Technical Paraplanner role. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on your technical knowledge and compliance standards. Be ready to discuss how you've handled high-risk advice cases in the past. We want to see that you can make informed decisions under pressure!
✨Tip Number 3
Showcase your skills through real-life examples. When discussing your experience, highlight specific instances where you provided constructive feedback on case files or contributed to advice audits. This will demonstrate your expertise and commitment to quality.
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who take the initiative to engage directly with us.
We think you need these skills to ace Technical Paraplanner in Bromsgrove
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Technical Paraplanner role. Highlight your experience in compliance and financial planning, and don’t forget to showcase your decision-making skills and attention to detail!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you’re passionate about compliance and how your background makes you a perfect fit for our team. Keep it professional but let your personality show through!
Showcase Your Skills:In your application, be sure to highlight your excellent written and numerical skills. Mention any relevant software or systems you’re familiar with, as this will demonstrate your readiness for the fast-paced environment we work in.
Apply Through Our Website:We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows you’re keen on joining our team!
How to prepare for a job interview at IDEX Consulting Ltd
✨Know Your Stuff
Make sure you brush up on your knowledge of financial planning principles and regulatory requirements. Be ready to discuss how your experience aligns with the role, especially in terms of providing compliance advice and reviewing case files.
✨Showcase Your Decision-Making Skills
Prepare examples that highlight your ability to make informed decisions, particularly in high-risk situations. Think about specific cases where your judgement led to positive outcomes for clients or the firm.
✨Communicate Clearly
Since excellent communication is key for this role, practice articulating your thoughts clearly and concisely. You might be asked to explain complex concepts, so being able to simplify your explanations will impress the interviewers.
✨Be Ready for Scenario Questions
Expect scenario-based questions that test your problem-solving skills. Prepare by thinking through potential challenges you might face in the role and how you would approach them, especially regarding compliance and advice quality.
