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Financial Planning Compliance Assistant

Job LocationCambridge
EducationNot Mentioned
Salary21,000 - 24,000 per annum, negotiable
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

Job Title: Financial Planning Compliance AssistantSalary: £21,000 - £24,000Location: CambridgeA well-established Financial Planning firm, who pride themselves on tailored, specialist Financial Advice is continuing to grow despite the current climate. They have a strong client following and have a large amount of FUM for a smaller business and theyare now looking to bolster their compliance team.This company provide advice across a diverse range of case types including Pensions, Investments, Protection, IHT, Tax & retirement planning. So this role will be varied and would suit someone who is really looking to utilise their technical knowledge andcompliance skills within an independent firm.The Role:This position would have several elements and would suit someone who likes a challenging, varied position. Duties would include keeping up to date with regulatory updates, produce compliance reports for management, work with external compliance to ensurethe training an competence policies are up to date as well as conducting file reviews, compliance monitoring, reporting breaches, compliant handling, reviewing financial promotions and producing MI for the firm.As they are a well-established firm, there is a good remuneration package on offer and they provide a friendly culture based around working together to achieve the best results. Along with promoting talent internally and offering their employees the bestchance to build a career with them.The Required Skills:

  • Experience of working within a financial planning or Wealth Management firm previously.
  • Experience holding a compliance / file checking position previously
  • CII OR LIBF qualifications such as the Level 4 Diploma would be advantageous
  • Personable professional who is comfortable dealing with clients both written and verbally
  • Ability to work well under pressure and meet deadlines.
  • An understanding and working knowledge around pensions, investments, the FCA and how a Financial services firm operates
If you are interested in hearing more about this position, please get in touch with us at Capio.

Keyskills :
ComplianceFinancial AdviceFinancial ServicesInvestmentPensions

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