Current Vacancies

Chief Risk and Governance Officer

Nottingham (Our ref AL977)

Interim Role for up to 12 months

Salary c£70,000 - £85,000 pro rata per annum plus benefits including City Centre Parking

My client, a highly successful Asset Management company, and they now have a vacancy for a Chief Risk and Governance Officer to join their team.

Responsible to:      Chief Executive Officer 

Responsible for:      Head of Operational Risk & Financial Crime

The role

·        Responsibility for risk oversight, compliance, investment management monitoring and legal functions within a fast-growing host ACD and investor servicing business.

·        Expertly assess risk throughout the organisation, quantify risk limits and act as custodian of the risk appetite.

·        Communicate effectively to key stakeholders regarding the risk profile of the business, through presentations, updates and reports.

·        Constantly research and review wider industry developments and specifically but not limited to regulatory and industry insight to ensure the Company is up to date and pioneering in its approach.

·        Enable solution focussed digital innovation through the post holders experience and understanding of digital world and platforms.

·        Build cyber risk resilience by understanding the changing developments in relation to cyber risks, IT and digital technology.

·        Provide guidance and challenge on a raft of business linked risk factors such as: regulatory, operational, reputational, financial, compliance, market and liquidity risks, in connection with the defined strategy.

·        Responsibility for the firms policies and procedures for countering the risk that the firm might be used to further financial crime.

·        This role encompasses SMF16 (Compliance Oversight).

The Person

·        Deep understanding of investment management monitoring, including stress testing scenarios, liquidity management and adherence to UCITS rules.

·        Must have the ability and tenacity to challenge investment managers, effect and influence change as required and document all stages of the monitoring process thoroughly.

·        Extensive knowledge of SMCR, AMMS, GDPR, MiFID, and other regulatory developments and proficiently translates interpretation into risk and impact.

·        Comprehensive understanding of the risks and management of digital/ cyber vulnerabilities and maintains awareness of the evolving security risks and trends in domain areas and provides technical expertise in support of IT security compliance and security assessments.

·        An excellent motivational management style and strong communication skills. The ability and appetite to promote and champion the Companys expertise externally as a risk management best practice champion. A core expectation of the role is the further development of strong, effective relationships outside the organisation, with key external institutions and platforms to encourage open communication, keep appropriate pace with change and mitigate risk.

·        Demonstrable experience of managing and maintaining robust and appropriate risk frameworks in a highly regulated service focused environment. A commitment to significantly contribute through education and knowledge sharing, to the preservation of the investor centric culture, which drives the business.

·        Has proven competencies and can draw on experience of acting in a CF/ SMF capacity, within either FCA or PRA regulated firms.

·        The postholder has the knowledge, confidence and experience to express and substantiate views in the pursuit of safeguarding investors, clients and employees, and ensuring the fitness and propriety of the business. The postholder must also thrive in a team environment and understand the importance of engaging with a diverse range of people and audiences to improve investor outcomes and contribute to best practice within the industry.

·        CASS knowledge desirable.

If this role is of interest, please apply with an up to date CV.  We aim to respond to all applications but occasionally, due to overwhelming response, this is not always possible.  Should you not hear from us within 10 days please assume your application has been unsuccessful.  By submitting your CV you consent to it being retained for use in connection with this and future relevant and/or similar vacancies, you can of course, opt out of this at any time by emailing us.  Full Privacy Notice can be found on our website.

Investments Administrator

Leicester City Centre (AL976)

Salary to £22,000 plus excellent benefits

My client is a fast-paced, dynamic Group at the cutting edge of building safe and recurring value for all of their stakeholders.  Their core areas include: bespoke pension solutions, wrap platform, independent financial advisory, investment consultancy, research and due diligence, and more. They currently have £33bn Assets Under Management and are still growing.

What you will do

In your role as Investment Administrator, you will be responsible for working as part of the specialist Investment team in what is a critical part of the Companys operations function.

You will be responsible for demonstrating an exceptional breadth of understanding of investment types to manage the investments behind each of their schemes.

 Key Accountabilities

·        Operating the specialist investment processes as instructed by clients, across a wide range of scheme and investment types

·        Interacting directly with a range of investment counterparties as required by the scheme action

·        Ensuring that the Company delivers exceptional control of each investment activity, in line with agreed scheme principles and their control environment

·        Managing and maintaining all data, and retaining documentation pertaining to investment transactions of any kind

Who you are and the experience the client is looking for

·        Ideally a minimum of two years experience in a comparable role with experience of dealing with clients via telephone, letter and email

·        Exceptional accuracy and attention to detail

·        Reasonable knowledge of regulated investments of all kinds, unregulated investments, unlisted shares, in-specie transfers, third party loans and non-standard borrowing

·        Ideally, experience across a range of scheme types (i.e. SIPP, SSAS, DB, DC).

·        A very good awareness and experience of counterparty investment service providers

·        A proven ability to work at pace in an environment of complexity and time-based pressure, retaining high levels of accuracy and control throughout

·        Professional qualifications including CF1, FA2 and R02 (CII) or be willing to study towards obtaining the required qualifications.

If this role is of interest, please apply with an up to date CV.  We aim to respond to all applications but occasionally, due to overwhelming response, this is not always possible.  Should you not hear from us within 10 days please assume your application has been unsuccessful.  By submitting your CV you consent to it being retained for use in connection with this and future relevant and/or similar vacancies, you can of course, opt out of this at any time by emailing us.  Full Privacy Notice can be found on our website.

Administrator - SIPP Operations
Leicester (our ref AL975)
Salary to £25,000 plus excellent benefits

My client is a fast-paced, dynamic Group at the cutting edge of building safe and recurring value for all of their stakeholders. Their core areas include: bespoke pension solutions, wrap platform, independent financial advisory, investment consultancy, research and due diligence, and more. They currently have £33bn Assets Under Management and are still growing.
 
What you will do
In your role as Administrator, your primary focus will be to deliver exceptional service to SIPP pension clients across the full lifecycle.     
The scope of the role covers the support of both pension administration functions and usage of the back-office systems.            
Key to success will be your need to put the customer at the centre of everything that you do, your attention to detail, your desire to have end to end ownership, your focus on getting things right first time and your drive for continuous improvement.   
 
Key Accountabilities

• Providing exceptional service to all customers (advisers, clients and third parties)
• Responsibility for owning all work through to successful conclusion
• Demonstrating understanding of the customer outcome and relationship, assisting with the solution delivery and problem resolution, and work items across the SIPP lifecycle
• Following the principles of First Touch Resolution for any client expression of dissatisfaction
• Committing to and demonstrating ongoing professional development to ensure the ability to deliver detailed support across technical pension administration functions, regulatory evolution, business proposition developments, and platform functionality developments
• Demonstrating a strong work ethic and adaptability to achieve daily work task targets
• Getting it right first time every time
• Building effective team relationships
• Continuous process improvement.

 Who you are and the experience we are looking for

• Experience in financial services administration, preferably in a client facing role
• Strong client relationship skills
• A proactive and inquisitive nature with the ability to innovate and challenge in support of the business model we are operating
• CII Certificate in Financial Administration (desirable).

 If this role is of interest, please apply with an up to date CV.  We aim to respond to all applications but occasionally, due to overwhelming response, this is not always possible.  Should you not hear from us within 10 days please assume your application has been unsuccessful.  By submitting your CV you consent to it being retained for use in connection with this and future relevant and/or similar vacancies, you can of course, opt out of this at any time by emailing us.  Full Privacy Notice can be found on our website.

Technical Specialist - Pensions

Leicester (our Ref AL974)

Salary to £35,000 per annum + excellent benefits

My client is an award winning organisation whose core areas include: bespoke pension solutions, wrap platform, independent financial advisory, investment consultancy, research and due diligence, and more.

What you will do

In your role as a Technical Specialist, you will be responsible for working closely with the operational functions as a member of the Service Recovery Team to ensure the company complies with the FCA complaints handling rules and the legal requirements governing the provision of pension scheme administration services, whilst meeting its obligations as a pension scheme trustee and administrator.

This role is responsible for ensuring the company operates exceptional process and controls and manages strong counterparty relationships (internal and external).

 Key Accountabilities

·        Ownership of service recovery case management through skills and activities such as scheme deconstruction, file reconstruction, data mining and investigation, forensic assessment, document analysis in order to prepare overviews, reports and recommendations. Personal ownership, control and management of situations, cases and thematic matters

·        Provide written responses that are clear, articulate and straight-forward; with accurate overviews of the complaint(s) and reasoning behind the response

·        Ensure all processes are followed, using standard frameworks and templates, subject to risk and compliance oversight

·        Calculation/evaluation of loss: decide and apply correct interest calculation, assess maximum potential commercial liability for the firm

·        Measure and refine redress process and calculations. Research and benchmark against ongoing POS / FOS decisions to ensure firm policy and approach aligned with the regulators

·        Recognition of any litigation issues, case analytics, research, document preparation, PI preparation, witness statement preparation, internal reports, relationship and contract management, internal cohesion and team working with other departments specifically with Risk and Compliance

·        Assess whether conduct risk is embedded and the firm is consistently delivering fair outcomes to consumers. Precedent case handling, including identification and assessment of case themes, recommendations for improvement

·        Proactively managing relationships and expectations with our clients, both Financial Advisers and members

·        Updating knowledge and understanding of HMRC and relevant legislation, regulations and guidance.

·        Broker solutions and demonstrate soft service recovery skills to retain customers

·        Create and capture MI, data analysis (trends/themes/risks), process intervention and improvement.

·        Develop recommendations underpinned by robust data analytics and MI for continuous improvement of the firm's risk management

·        Build effective relationships with internal and external clients

·        Carry out remedial project work on cases requiring technical expertise

·        Gain, maintain and demonstrate knowledge of our various Trust Deed and Rules.

Who you are and the experience we are looking for

·        Exceptionally proactive, with the ability to innovate and challenge in support of the business model we are operating

·        Understanding of HMRC requirements, rules, manuals and guidelines relating to SIPP/SSAS, ISAs and / or GIAs

·        Understanding of trust-based pension schemes and trustee duties

·        A good understanding of compliance requirements for SIPP/SSAS, ISAs and/or GIAs and /or Platform Servicing

·        Good understanding of DPA and DSAR legislation

·        An understanding of legal documentation relating to SIPP / SSAS, ISAs and/or GIAs and / or Platform Servicing

·        Exceptional judgment and communication skills

·        Solid risk and controls awareness

·        Clear and proven oral and written communications skills

·        Professional qualifications including CII CF1, CF2, CF4 and FA2 or equivalent or an interest to study towards

·        At least five years comparable experience in a regulated financial services company/complex regulated environment, ideally in SIPP and SSAS administration or ISAs or GIAs or Platform Servicing

·        Experience must be in at least one of the following for a minimum of 2 years: service recovery/complaints handling/trustee technical support/complex case management (problem solving)/specialist technical support/SME - such as investments, drawdown, SSAS, ISAs, GIAs and Platform Servicing.

If this role is of interest, please apply with an up to date CV.  We aim to respond to all applications but occasionally, due to overwhelming response, this is not always possible.  Should you not hear from us within 10 days please assume your application has been unsuccessful.  By submitting your CV you consent to it being retained for use in connection with this and future relevant and/or similar vacancies, you can of course, opt out of this at any time by emailing us.  Full Privacy Notice can be found on our website.

Legal Advisor Compliance

Nottingham City Centre (our Ref AL973)

Part time, 3 days per week, salary to c£50,000 pro rata + excellent benefits

My client is an established and respected financial services organisation in Nottingham City Centre and they are looking to appoint an experienced Legal Advisor to work within their Compliance Team.

You will be responsible for assisting in compliance legal matters and providing advice in legal documentation, contracts and negotiations and interpreting legislative change and business risk.

Main Job Duties

·        Assist with the preparation and maintenance of fund related legal documentation.

·        Maintain and update databases and tracking systems

·        Contribute to the regular review and publication of the Compliance Manual.

·        Assist with the review and maintenance of legal documentation relating to key third party suppliers.

·        Assist with root cause analysis of any complaints received from customers.

·        Promote a robust compliance culture and high standards across the firm.

·        Carry out duties in accordance with agreed professional standards and codes of conduct.

·        Identify emerging regulations and perform gap analysis on current practice to assist with regulatory horizon planning for the company.

·        Assist external auditors with requests for information and data.

·        Provide legal technical support to all operational teams.

·        Prepare KPI and MI for internal committees and the Board.

·        Assist the team with ad-hoc projects and investigations as directed.

Qualifications

·        Experience of working in financial services or other highly regulated industry preferred.

·        Legal practising certificate required.

·        5 years+ relevant industry experience preferred in law firm or corporate environment.

·        Degree level or equivalent qualification preferred.

Skills and Competencies

·        Professional attitude and appearance.

·        Ability to communicate professionally with internal and external stakeholders.

·        Strong written and verbal communication skills.

·        Ability to be resourceful and proactive when issues arise.

·        Excellent planning and organisation skills.

·        Excellent multi-tasking and time-management skills, with the ability to prioritise tasks.

·        A flexible and collaborative attitude towards duties and responsibilities.

·        Familiarity with the FCAs Principles for Business and their practical impact on regulated firms.

·        Good attention to detail and accuracy.

If this role is of interest, please apply with an up to date CV.  We aim to respond to all applications but occasionally, due to overwhelming response, this is not always possible.  Should you not hear from us within 10 days please assume your application has been unsuccessful.  By submitting your CV you consent to it being retained for use in connection with this and future relevant and/or similar vacancies, you can of course, opt out of this at any time by emailing us.  Full Privacy Notice can be found on our website.

Compliance Analyst

Nottingham City Centre  (our Ref AL972)

Salary £25,000 to £30,000 plus excellent benefits including parking

My client, a highly successful Asset Management company, have an exciting new role due to recent restructuring, within their Compliance Division.

You will be responsible for analysing and producing external and internal information to ensure legal and regulatory compliance and deadlines are adhered to within the business.

Compliance Analyst  Duties

·        Monitor reporting systems and tools daily to ensure full adherence with applicable rules and legislation.

·        Gather and analyse data relating to of all aspects of regulated funds activity.

·        Monitor internal dedicated email inboxes to ensure that queries are answered promptly by the team.

·        Maintain an up to date and accurate log of all testing and monitoring undertaken.

·        Analyse operational practice against pre-determined control processes.  Key areas include: GDPR, Operational Resilience, IT, Fund Accounting and       Transfer Agency

·        Conduct file reviews for compliance with AML and CASS regulations.

·        Regularly review and update internal compliance policies and procedures.

·        Analyse the effectiveness of business continuity operational procedures.

·        Promote a robust compliance culture and high standards across the firm.

·        Assist external auditors with requests for information and data.

·        Provide Compliance technical support to all operational teams.

·        Prepare KPI and MI for internal committees and the Board.

·        Assist the team with ad-hoc projects and investigations as directed.

·        Adherence to the conduct rules as defined by the SM & CR and the FCA regulations.

Qualifications

·        Experience of working in financial services or other highly regulated industry preferred.

·        3 years+ relevant industry experience preferred.

·        Degree level or equivalent qualification preferred.

Skills and Competencies

·        Professional attitude and appearance.

·        Strong written and verbal communication skills.

·        Ability to be resourceful and proactive when issues arise.

·        Excellent planning and organisation skills.

·        Excellent multi-tasking and time-management skills, with the ability to prioritise tasks.

·        A flexible and collaborative attitude towards duties and responsibilities.

·        Familiarity with the FCAs Principles for Business and their practical impact on regulated firms.

·        Good attention to detail and accuracy

·        Ability to communicate professionally with internal and external stakeholders.

If this role is of interest, please apply with an up to date CV.  We aim to respond to all applications but occasionally, due to overwhelming response, this is not always possible.  Should you not hear from us within 10 days please assume your application has been unsuccessful.  By submitting your CV you consent to it being retained for use in connection with this and future relevant and/or similar vacancies, you can of course, opt out of this at any time by emailing us.  Full Privacy Notice can be found on our website.

Paraplanner

Nottingham (Ref AL970)

Salary £38,000 - £42,000 + benefits

My client is a very well-regarded boutique style IFA in Nottingham, dealing with high net worth clients.  They now have an exciting new vacancy for a Financial Planning Technician ( Paraplanner ) to join their team and support the IFAs.

The role:

• To provide technical and research support to clients
• To provide technical support to the advisory team
• To produce accurate and comprehensive financial planning reports
• To produce cashflow analysis
• Ensure all dealings with clients are carried out in a professional, prompt, accurate and courteous manner
• Ensure all supporting documentation is maintained according to current procedures

In addition:

• To maintain an understanding and awareness of relevant rules and processes
• To maintain and build on relevant technical knowledge
• Build deep and meaningful relationships with client
• Always be mindful of ways to improve the client experience and internal processes
• Polite, pro-active, excellent manner, relational, attention to detail, team player
• Excellent organisational and planning skills with ability to prioritise workload and work to deadlines
• Competent user of MS Office applications

The Person:

You will have the personal attributes necessary to fulfil the role and its requirements above and will also ideally hold your Diploma in Financial Planning or be well on your way to completing this.  Previous paraplanning experience is a pre-requisite.

If this role is of interest, please apply in confidence with an up to date CV or call Angela Liscombe at North Oak Recruitment for a discussion.  We aim to respond to all applications but occasionally, due to overwhelming response, this is not always possible.  Should you not hear from us within 10 days please assume your application has been unsuccessful.  By submitting your CV you consent to it being retained for use in connection with this and future relevant and/or similar vacancies, you can of course, opt out of this at any time by emailing us. Our full Privacy Notice can be found on our website.

Business Development Support Assistant

Nottingham (Our Ref AL969)

Full time 9.00 to 5.30 pm

Competitive Salary to £24,000 per annum

Located in Nottingham City Centre, my client, an established and very well regarded Asset Management Company, is seeking a Business Development Support Assistant to join the existing Business Development team.

We are looking for a professional, confident and proactive individual, who is flexible and collaborative towards their duties and responsibilities and has a great track record in supporting the growth of existing and new business.

This role would suit a self motivated individual who has strong administrative skills and has gained relevant experience of business development and marketing practices and processes.

Reporting into the Senior Project Coordinator, you will additionally provide full administrative support to the Business Development Team.

Key Responsibilities

Essential Skills and Competence

·        A minimum of 2 years experience in a similar role with strong administration and organisational skills.

·        Exceptional interpersonal and communication skills, to enable professional interaction with a wide range of contacts, both internal and external.

 ·        Excellent attention to detail, with the ability to maintain a high level of accuracy.

 ·        Ability to work on own initiative and organise and plan your own work.

 ·        Ability to deal with sensitive information with discretion and to maintain confidentiality.

 ·        Excellent IT skills, including a working knowledge of presentation software packages, preferably Microsoft Office Word, Excel and PowerPoint.

 ·        Strong organisational, time management and multi-tasking skills and the ability to maintain high standards while working under pressure and to deadlines.

 ·        Creative in approach to problem solving and able to think through the implications of different options in terms of the wider organisation.

 ·        Excellent interpersonal skills in order to work across teams and get the best from people to assist in delivering strategic goals. 

 ·        Ability to respond quickly to rapidly changing circumstances or work pressures.

 ·        Previous experience of minute taking at new client business meetings is desirable.

If this role is of interest, please apply with an up to date CV.  We aim to respond to all applications but occasionally, due to overwhelming response, this is not always possible.  Should you not hear from us within 10 days please assume your application has been unsuccessful.  By submitting your CV you consent to it being retained for use in connection with this and future relevant and/or similar vacancies, you can of course, opt out of this at any time by emailing us.  Full Privacy Notice can be found on our website.

Financial Services Business Administrator

Nottingham City Centre (our Ref AL968)

Salary to c£26,000 pa + extensive benefits

Our client is an expanding Top 20 accountancy practice with offices across the UK and internationally. They are now looking for a Financial Services Business Administrator to join their friendly team at their Nottingham offices.

This is a fantastic opportunity to use your corporate administrative expertise while gaining valuable exposure to financial services operations and supporting customers to achieve their financial objectives.  You will be supported in your personal and professional development, helping you meet your future goals and objectives. 

The Role

As an Administrator, you will support a Financial Advisor with all administration required to support a portfolio of clients, including reports and valuations.  You will deal with queries from both Advisors and customers, arrange review meetings and ensure the delivery of the highest level of customer service.

More specifically:

·        Undertake sufficient product and market research

·        Obtain illustrations and detailed product information from providers

·        Prepare draft suitability reports and documentation

·        Prepare research and paperwork for client review meetings

·        Arrange client review meetings

·        Update back office systems

·        Typing correspondence and other documents on a daily basis

·        Scanning, photocopying, binding and filing on a daily basis

·        Helping undertake valuations

·        Dealing with queries from advisors and clients

·        Ensure relevant CPD is maintained and recorded accurately

About You

• Strong MS Office skills, ie, Word, Excel and MS Outlook (Essential)
• Knowledge of back office an research tools eg: Intelliflo;  Dynamic Planner; Avelo Exchange; CashCalc (Desirable)
• Previous experience working with clients in a client a professional office environment is essential and experience within Financial Planning is desirable

·        Attention to detail

·        Proactive

·        Good telephone manner and confidence to answer client calls

·        Strong typing skills

·        Positive and helpful attitude towards doing whatever tasks are required

If this role is of interest, please apply with an up to date CV.  We aim to respond to all applications but occasionally, due to overwhelming response, this is not always possible.  Should you not hear from us within 10 days please assume your application has been unsuccessful.  By submitting your CV you consent to it being retained for use in connection with this and future relevant and/or similar vacancies, you can of course, opt out of this at any time by emailing us.  Full Privacy Notice can be found on our website.

Compliance Officer

Wealth Management

Leicestershire (our ref AL967)

Salary £25,000 - £40,000 depending on experience

Our client is a respected and well-established IFA based on the outskirts of Leicester and they now have an exciting new opportunity for a Compliance Officer to join their team.  You will need to have CII qualifications (RO1-RO6) and also AF7, AF3 or G60 would be an advantage.  Previous experience within a Wealth Management environment is also of course, required.

Main duties

• Help ensure that the company maintains accurate, detailed and up to date compliance records across all areas of the companys business
• Help ensure the company can respond to requests for information from the FCA and provide the requisite notifications to the FCA
• Help ensure appropriate ethical standards exist within the company
• Help ensure the company continues to meet its threshold conditions (COND) 
• Report to the company’s Compliance Manager on a regular basis on all relevant compliance issues   

Specific responsibilities

Compliance

• Help ensure that the company implements fully its risk-based compliance and financial crime procedures
• Help ensure that all regulatory reports required by FCA are submitted on time
• Help ensure the company keeps up to date MI and that any adverse trends or recurring problems identified are passed on to the relevant individuals within the company
• Help ensure that the company has adequate data security policies and procedures in place and that these are implemented properly

Advice and sales practices

• Help ensure all advisers, investment managers and new business administrators are aware of any relevant guidance in the areas in which they work and have received appropriate training on any new markets or products in which the company is involved
• Regularly review the relevant individuals client files as required by the companys relevant procedures

Complaints

• If requested, review any complaints against the company and investigate in accordance with relevant regulator’s complaints handling rules
• Help ensure that the six-monthly reports to the FCA are submitted within the correct timescale
• Help ensure all staff are aware of the companys complaints handling procedures

Financial promotions

• Help ensure all financial promotions are approved and recorded on the companys financial promotion register
• Help ensure all staff are aware of the requirement not to issue any financial promotion without the approval of the compliance oversight function

Training and competence

• Help ensure that all approved persons are subject to the necessary levels of supervision outlined in the companys relevant procedures
• Help ensure that adequate records are being maintained by the companys supervisor.
• Help ensure that all RIAs have a current SPS
• Help ensure that any non-advising approved person is competent for the role they undertake, by formally reviewing this on an annual basis in line with the T&C requirements
• Help ensure that any advising principal has maintained a relevant and adequate record of CPD and KPIs by formally reviewing this on at least an annual basis

Appointed representatives

• Help ensure the relevant regulatory requirements are met and that the appointed representatives are effectively monitored and assessed

If this role is of interest, please apply with an up to date CV.  We aim to respond to all applications but occasionally, due to overwhelming response, this is not always possible.  Should you not hear from us within 10 days please assume your application has been unsuccessful.  By submitting your CV you consent to it being retained for use in connection with this and future relevant and/or similar vacancies, you can of course, opt out of this at any time by emailing us.  Full Privacy Notice can be found on our website.