£35000 - £40000 per annum, Benefits: Car Allowance
about 1 month ago
Salary up to £40k + Car + Benefits.
To work effectively and efficiently to deliver a market leading proactive compliance consultancy service to directly authorised firms. To identify opportunities and trends and to deliver a quality service to clients / members ensuring compliance standards are enhanced, risks mitigated and value added.
Our client who is a market leader is looking to replace a retiring Consultant with a motivated Level 4 in Financial Planning candidate to work effectively and efficiently to deliver a market leading proactive compliance consultancy service to directly authorised firms. To identify opportunities and trends and to deliver a quality service to clients / members.
This field-based role covering the Scottish Central Belt comes with Fantastic benefits and offers fantastic job satisfaction.
Client / Member Facing
- Create and maintain effective relationships with Clients / Members, increasing knowledge and understanding of their business
- Represent the group at all times in a professional manner with external and internal clients
- Create and deliver an appropriate programme of visits to meet the requirements of firms through effective planning, organisation and time management
- Provide consultative support to Client / Member Firms to ensure relevant, practical compliance solutions are provided to assist with firm risk management
- Provide support to clients / members during times of regulatory change and update firms of any current relevant regulatory and / or legislative changes during visits
- Produce and deliver accurate reports and action plans in a timely manner to provide clear, practical solutions to specific business needs for clients / members to enable them to develop, monitor and maintain compliance standards to mitigate risks within their business
- Conduct file reviews if / when required whilst onsite, or remotely in line with group business requirements and policy
- Ensure delivery of T&C Service with effective delivery of training needs analysis, skills assessments, one to ones and development plans
- Support and promote group events by participating in preparation and delivery of training presentations and / or meetings as required
Internal / Supporting
- Maintain accurate client records ensuring all information is filed and held centrally within the CRM system and, where relevant the associated client folder(s)
- Adhere to the internal group monitoring procedures and ensure consistency in delivery of services
- Play an active part in the consultancy team, providing challenge and undertaking work to enhance the delivery of services to clients/members via:
- Taking opportunities, both reactive and proactive, to assist with the development additional services and support
- Encourage cross department interaction within the group to ensure information, knowledge, experience and innovation is shared across the business.
- Provide challenge and constructive feedback to assist with the review, development and maintenance of internal documentation to enable delivery of quality services.
- Maintain and enhance own technical and regulatory knowledge via CPD including the reading of the FCA website/ group Regulatory Updates / Handbook and other internal / external industry updates as required. Ensure suitable CPD records are maintained
- Develop and maintain effective and proactive working relationships with internal and external stakeholders
- Use knowledge and skills to support the growth and development the group both internally and in the external market via supporting the development of new business opportunities
- Contribute to the profitability of the business, support growth and add value to existing Clients / Members through the promotion of and introduction to relevant group services and business tools
- Provide introductions / opportunities to other group departments to support growth and retention.
- Undertake and support projects as and when required, to support the needs of the business or to achieve departmental objectives
- Prepare for ongoing 1:1 / appraisal meetings with manager and ensure necessary work undertaken to achieve individual objectives and targets
- Proactively manage own personal development plan to support self and group development / initiatives
Experience and Qualifications:
- Previous experience working in a regulatory / compliance environment
- Knowledge of IFA markets (including provider / lenders)
- Broad technical knowledge across all product areas
- Minimum Level 4 qualification essential and mortgage qualification desirable
- G60, AF3 or AF7 Pension Transfers qualification desirable or prepared to study for and attain the AF7 qualification.
- Experience within / knowledge of DFM / DIM markets desirable
- Excellent customer service
- Proficient IT skills
- Excellent communication and telephone skills