Job Information

Our clients are a highly successful Asset Management firm based in Dorking with other offices in Hertford and York who require a technical Paraplanner to join the team. Ideally you will be client facing to fact find.

Going from strength to strength you will be joining a brilliant small team.

They provide independent financial advice, planning and guidance to individuals, as well as supporting corporate clients with employee benefits solutions and company specific financial advice.

Paraplanner:

To provide high quality financial planning support to Financial Advisers in accordance with FCA standards and Chartered Code of Ethics, representing the company in a professional manner with honesty and integrity at all times.

Primarily constructing both recommendations and technical reports (reasons why & suitability letters) and includes some researching and processing of the more technical matters through to implementation/dispatch.

Role detail:

Compliance

To assist in ensuring that all client files and company records are compliant in line with FCA regulations, this includes file reviews- submitting a percentage of adviser & appointed representative post sale files to our 3rd party checking company, monitoring the return, ensuring all action points are dealt with accordingly and all advisers are kept informed of developments through the adviser meetings. Updating the appropriate register.

To keep abreast of and adhere to the rules within the compliance manual, through internal tests, office meetings and reading.

To continually conduct oneself within the 6 core principles of the FCA’s TCF and CII’s Code of Ethics

Technical

Keep up to date with legislation, taxation & trusts, regulation, technical, product and provider changes.

A thorough knowledge is necessary of all product types that the company generally deals with, in its fully independent status, enabling:

Compiling recommendation/suitability letters, building from basic templates from 3rd party compliance assistance company together with provider information, company policy requirements, client soft facts and specific adviser instructions