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Compliance & Training Manager

Recruiter
Confidential
Location
Oxfordshire
Salary
Competitive
Closing date
21 Dec 2020

View more

Employer Sector
Accountancy Practice
Contract Type
Permanent
Hours
Full Time
Travel
None
Job Type
Compliance, Compliance & Regulation
Senior Technical Support Advisor, based in Oxfordshire, competitive basic salary with good benefits

This is a fantastic opportunity to work for a successful growing Wealth Management Company.

Duties and Responsibilities:

* Checking of Paraplanning reports and feedback on issues or better ways of working
* Pre-screening of Advisor report requests
* Provide support in improving and updating report templates
* Assist with updating of Procedures Manual and ensure that it remains up to date
* To make recommendations as to how the firm's systems and procedures might be improved
* Create training courses via the Education Academy and roll out across the business
* To assist in the creation, implementation and development of internal systems, in order to meet regulatory obligations, and to improve and maintain efficient working practices within the organisation
* Answer technical questions for the business

Skills and Knowledge Requirements:

* Ability to manage own workload and work within a small team
* Knowledge of business processes, standards, policies and procedures
* Experience within the Financial Services Industry
* Knowledge of Microsoft Word, Excel, Outlook and ideally Adviser Office, Volume and Pulse dealing system
* Mentor junior members of the team if required
* Ideally at least 5 years' experience in the financial services industry of which a minimum of 2 years has been in a Paraplanning role or adviser/Paraplanner training role within a firm of financial advisers
* Provide leadership for the team
* Ability to explain complex issues in a clear and easy to understand manner
* Grow level of technical knowledge and ensure remain up to date with changes in legislation

Search is an equal opportunities recruiter and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age

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