Compliance Officer/Paraplanner - Financial Services

Compliance Officer / Paraplanner - Financial ServicesLocation: Ferndown ( Hybrid options -1 day a week in the office) Hours:

• Part-Time: Compliance
• Full-Time: Compliance & Paraplanning OR Compliance & Financial Advisor(Flexible Hours to Support Family Life)Salary: £35,000 - £45,000 (Based on Experience)Reports To: Senior Partner

The Role:

A unique opportunity has arisen for an experienced a respected financial services firm based in Ferndown. Whether you prefer a part-time role focused on compliance, or a full-time position incorporating both Compliance and some paraplanning or trainee financial advisory responsibilities, this role offers flexibility to suit your needs. We recognize the importance of work-life balance and offer a supportive environment that values both your professional and personal commitments.

• Flexible Work Arrangements: Choose between hybrid or fully remote work to match your lifestyle.
• Family-Friendly Schedule: Enjoy part-time hours designed around family commitments.
• Supportive Team: Work with a close-knit group of professionals and receive mentorship from experienced leaders.

Key Responsibilities

Compliance:

• Oversee day-to-day compliance functions and ensure adherence to regulatory standards.
• Stay updated on FCA regulations and adjust company policies accordingly.
• Provide training and mentorship to advisors on compliance matters.
• Manage external audits with confidence.

Paraplanning (For Full-Time Applicants):

• Prepare comprehensive client reviews on investment and pension performance, including risk assessments and cashflow forecasting.
• Draft suitability reports for pension, investment, and protection advice.
• Conduct detailed research on pension and investment products, covering features, underlying investments, and allocations.
• Analyze data using tools like FE Analytics, Defaqto Engage, Adviser Asset, and CashCalc (training provided if required).

What We’re Looking For

• Experience: Proven experience as a Compliance Officer is essential.
• Additional Experience (Full-Time): Paraplanning or Financial Advisor experience.
• Flexibility: A proactive attitude and ability to work part-time, with a flexible approach to scheduling.
• Qualifications: Level 4 Diploma in Financial Planning.
• Skills: Strong compliance expertise, alongside paraplanning skills or a willingness to learn, with proficiency in relevant tools.

Unique Opportunity!

If you’re seeking a role that combines career development with the flexibility to accommodate your personal life, apply today and become a key part of our dynamic team!