Heat Recruitment have the following opportunities for financial advice professionals. For more details of these and hundreds of other vacancies too call Bristol 0117 922 1771 or London 020 3207 9075 or visit their website, www.heatrecruitment.co.uk
Head of Compliance and Risk – HENLEY-ON-THAMES
£100,000.00
This is an exciting opportunity to join a forward thinking and innovative practice. You will be responsible for the operation of compliance and risk management, which includes managing the compliance team and providing technical support, advice and guidance to the team and the business; you will oversee the compliance function and ensure that the business remains compliant with all applicable regulations and company policies and procedures. There is also the chance to become a member of the senior management team within the firm and reap the extensive benefits that come with this.
Skills & qualifications required:
- At least 7 years’ compliance and risk management experience.
- Ideally educated to degree level with a relevant industry qualification, such as CISIInvestment Operations Certificate (IOC) or equivalent.
- Ideally achieved or working towards the CISI Diploma or equivalent.
- Previous management experience desirable.
- Previous experience of risk management and working for a fund manager essential.
- Knowledge of collective investment schemes essential.
- Understanding of derivatives, and in particular swaps, futures and options essential.
- Knowledge of property funds and / or PAIFs would be advantageous.
- Understanding of the UK, European and regulatory environment is essential.
- Detailed knowledge of the FCA Handbook is essential, and in particular COLL, FUND, COBS, CASS, SYSC.
- Knowledge of MiFID / MiFID II, UCITS V, AIFMD, EMIR and MAR desirable.
- Familiarity with Barra or other risk management systems essential.
- Understanding of FundWare or other IBP monitoring systems essential.
- Ability and confidence to challenge at Board level.
- Ability to gain respect and confidence of peers essential.
- Good working knowledge of Microsoft Word, Excel and Outlook.
- A knowledge of Pulse would be an advantage.
- Able to work on own initiative as well as part of a team, whilst managing workloads.
- Ability to work under pressure is essential.
- Compliance Related
- Comply with the FCA’s Treating Customers Fairly requirements, and other requirements set out in the company manual and processes.
- To co-operate fully with the COURTIERS’ Anti Money Laundering requirements.
- To maintain records in accordance with COURTIERS’ compliance requirements as set
- out in its compliance manuals and procedures.
- Work within the requirements of the Data protection policy.
Self Employed IFA – Richmond, London
£100,000.00
A well established and prestigious IFA firm with a strong Accountancy venture attached, currently require several qualified IFAs to join their expanding team. The organisation offers full paraplanning, compliance and administrative support and a healthy earnings split.
The ideal candidate will need to be ambitious and committed to client service, have excellent knowledge of the financial services market place, be a strong lead generator and fully qualified.
There is an excellent opportunity here to boost and grow an existing client bank, and develop client relationships from the accountancy side of the business.
Skills:
- Level 4 Diploma Qualified in Financial Planning
- Experience of working within financial services
- Excellent communication skills
- Strong understanding of the current financial market
- Strong knowledge of pensions and investments products
Paraplanner – Croydon, Surrey
£40,000.00
An experienced paraplanner is required to work with the financial planners and client support team to provide clients with a positive, professional experience, offering highly technical and qualified knowledge and ongoing assistance.
Qualifications and capabilities:
- Previous experience within a financial services role, ideally in a financial planning practice environment.
- Minimum QCF Level 4 Qualified (i.e. CII Diploma in Regulated Financial Planning or ifs Diploma for Financial Advisers or equivalent) and working towards QCF Level 6. CII Certificate in Paraplanning or CISI Accredited Paraplanner designation will be an advantage.
- Confident and self-assured with a positive approach to change, ability to remain calm and work well under pressure.
- Good knowledge of Microsoft Office/IT skills.
- Working knowledge of Iress, Financial Express Analytics and Voyant/Moneyscope cash flow systems.
- Good planning and organisational skills, with the ability to organise and prioritise workloads.
Client Manager- London
£32,500.00
This is a regulated CF30 position and as such you will need to have experience within a similar role and be qualified to CII diploma level (4) or with significant progress demonstrated towards achieving this goal. You will be required to provide general support to the client service team and the advisers to deliver the financial planning service to clients
Basic qualifications at recruitment:
- Degree, competent A levels
- Excel competency
Desired requirements:
- Chartered Insurance Institute (CII) Level 4 Diploma in Regulated Financial Planning qualified.
- CII Level 6 Advanced Diploma in Financial Planning (Chartered Financial Planner)
- CISI Certified Financial Planner certification
Paraplanner – Sidlesham, West Sussex
£30,000.00
A well-established Wealth Management practice requires a career-committed research professional who is dedicated to enhancing their knowledge, experience and skills in this area.
Ideally, you will have previous experience as a paraplanner within a fast paced environment and have extensive product knowledge in the areas of pensions, investments and protection.
The successful candidate will benefit from full support and training within a welcoming office environment.
About the role:
- You will be required to analyse a client’s circumstances, objectives and existing financial planning arrangements in order to prepare an appropriate recommendation for discussion with the adviser
- Undertaking whole of market research, as required, on all areas of the market, including pensions, investments and protection, both on a client-specific basis and as part of regular reviews of the market place
- Liaising with various members of the Research Team involved in Risk and Compliance to ensure that advice is compliant
- Provide high quality technical, administrative and research support to the advisers
- Provide input to the Research Manager on the suitability of new systems or procedures
- Assist in the development of less experienced members of staff
Skills:
- Previous experience working within a similar role within an IFA practice
- Level 4 Diploma qualified or a desire to work towards
- A high level of analytical capability with good communication skills and attention to detail, as well as the confidence to interact with clients and providers at all levels
- Committed to a career in research
- Good time management and the ability to organise and prioritise workload
Paraplanner – Clifton, Bristol
£30,000.00
A well-established Wealth Management practice requires a career-committed research professional who is dedicated to enhancing their knowledge, experience and skills in this area.
Ideally, you will have previous experience as a Paraplanner within a fast paced environment and have extensive product knowledge in the areas of pensions, investments and protection.
The successful candidate will benefit from full support and training within a welcoming office environment.
Skills:
- Previous experience working within a similar role within an IFA practice
- Level 4 Diploma qualified or a desire to work towards
- A high level of analytical capability with good communication skills and attention to detail, as well as the confidence to interact with clients and providers at all levels
- Committed to a career in research
- Good time management and the ability to organise and prioritise workload
Compliance File Checker – FARNBOROUGH, Hampshire
£40,000.00
A multi-award winning financial services network, is currently seeking a compliance professional to join on a 12 month fixed term contract due to an increase in pensions liability projects.
As a compliance file checker you will be remotely reviewing the suitability and quality of advice given to clients and to ensure that any identified areas of concern or development are appropriately addressed.
Qualifications:
- To hold QCA level 4 qualification or able to demonstrate relevant experience equivalent to level 4
- Experience working within financial services.
- Experience working in financial services and within a compliance role, also experience of dealing with the FCA
IFA employed – London
£60,000.00
A unique chartered financial planning firm that has a reputation within the industry for providing an exceptional standard of service to their clients is looking to add to its prestigious ranks a qualified Financial Planner.
With an extensive client bank on offer for the successful applicant to manage, this holistic financial planning office has strong technical support. The earnings potential far exceeds that of most opportunities in the area.
Skills and experience:
- Level 4 Diploma with a strong intention to take advanced qualifications
- A strong track record of developing quality business leads and assessing client requirements
- Confident in writing business in excess of £100,000 per annum with an ambitious drive to grow year on year
- Experience working in a whole of market product environment
IFA Administrator – Leeds
£28,000.00
A fantastic opportunity with a successful and reputable IFA firm. The role includes giving administrative support to the advisers, management of clients’ accounts with information being updated, arranging meetings and being first point of call for client queries. You will be amongst a supportive and friendly environment with a group of highly professional and encouraging individuals.
Skills:
- Previous experience of working in a similar role within financial services
- Experience of using MS Office: Excel, Word & Outlook
- Excellent communication skills, both written and verbal
- Good telephone manner
- Strong attention to detail and high organisational skills
- Confident using a range of IT packages
- Happy to work in a team
- Ability to work in a fast-paced environment and be adaptable to change
Responsibilities:
- To produce all relevant paperwork for the client, on behalf of the Adviser, including, quotations, illustrations and valuations.
- Ensuring all records and personnel files are updated and organized
- To process new business documentation in accordance with the agreed service and quality standards.
- Manage wide range of queries from clients and Advisers taking the appropriate action to ensure the query is dealt with in a timely and effective manner.
IFA Administrator – Nottingham
£26,000.00
A fantastic opportunity with a successful and reputable IFA firm. The role includes giving administrative support to the advisers, management of clients’ accounts with information being updated, arranging meetings and being first point of call for any queries the client may have. You will be amongst a supportive and friendly environment with a group of highly professional and encouraging individuals.
Skills:
- Previous experience of working in a similar role within financial services
- Experience of using MS Office: Excel, Word & Outlook
- Excellent communication skills, both written and verbal
- Good telephone manner
- Strong attention to detail and high organisational skills
- Confident using a range of IT packages
- Happy to work in a team
- Ability to work in a fast-paced environment and be adaptable to change
Responsibilities:
- To produce all relevant paperwork for the client, on behalf of the Adviser, including, quotations, illustrations and valuations.
- Ensuring all records and personnel files are updated and organized
- To process new business documentation in accordance with the agreed service and quality standards.
- Manage wide range of queries from clients and Advisers taking the appropriate action to ensure the query is dealt with in a timely and effective manner.
