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Overall Summary
Join a national Asset Management firm within their Paraplanning team where you will manage Paraplanners across multiple Practices, delivering high-quality technical and report writing services to Advisers. In this role, you will also oversee several centralised Paraplanning and technical activities.
Responsibilities
- Recruit, Manage, Train, and Develop: High-calibre Paraplanners within budget and headcount levels to support various Advice practices.
- Employee Training and Competency: Train and monitor new employees, ensuring their sign-off as competent within agreed timescales.
- Support and Development: Mentor candidates from the Paraplanning Subs Bench and trainee Paraplanners.
- Resource and Technical Coverage: Collaborate with other Paraplanning Managers to ensure sufficient resource and technical coverage for all types of report writing.
- Quality Assurance: Conduct first-line checks on the quality of reports, turnaround times, and adherence to processes.
- Regional and Practice Support: Assist the Managing Director in any regional or Practice-based activities.
- Centralised Activities: Support the Technical Manager, Advice Services in maintaining Paraplanning Procedures and the Intranet.
- Risk Management: Act as a Paraplanning risk champion and be responsible for the Paraplanning RCSA.
- SMCR Compliance: Ensure delivery of all requirements under SMCR.
- Team Communication: Work with the Assistant Paraplanner team to ensure clear communication between Paraplanners and Assistant Paraplanners.
We Would Love to Hear from You If You Have:
- Qualifications: Level 4 Diploma or equivalent
- Regulatory Compliance: Understand, follow, and demonstrate compliance with all relevant internal and external rules, regulations, and procedures that apply to the conduct of the business. Adhere to the principles and rules of the Financial Conduct Authority (FCA) and internal requirements set out in the Compliance Manual, local, and Group Compliance and Risk policies.
- Conduct Rules Adherence: Follow the Conduct Rules for Certified Persons.
- Fitness and Propriety: Responsible for signing off on the Fitness and Propriety of in-scope direct reports.
- Regulatory Framework Understanding: Demonstrate an understanding of the regulatory framework relevant to the role, while practising effective risk management considering outcomes for clients.
- Suitability Guidance: Discuss suitability guidance and sign-off requests with the Practice Director and agree on the basis of any recommendations.
- File Review Monitoring: Monitor file reviews and ensure a prompt response where Paraplanner issues are identified or remedial action is required.
- Incident Management: Investigate and take appropriate action on any Paraplanner-attributable incidents.
- First Line of Defence: Act as the first line of defence, alerting Compliance to any issues that may require investigation or where processes are not being followed.
- Technical Input: Provide technical input and feedback as required.
If keen to apply please email me your cv to or call
