Current Vacancies

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.

Data Quality Specialist

Warwickshire (our Ref AL984)

Salary c£32,000 dep on experience + generous benefits

Our client is the leading supplier of SIPP and SSAS administration technology. The UKs leading insurers, banks, wealth managers, platforms and actuaries rely on their proven technology, exceptional service and understanding of the retirement market.  Due to continuing growth throughout 2020 and beyond, they have an exciting new opportunity for an analytical individual with pensions knowledge combined with data migration and data cleansing experience to join their team.

The Role:

·        Responsible for processing data through the migration process, producing and analysing an exceptions report covering data anomalies and highlighting potential code defects to the development team.

·        Responsible for supporting clients through the data remediation phase of their migration journey, guiding them through data cleansing, and checking the quality and integrity of their data to ensure a smooth transition  

·        The role will also play an integral part in developing services in partnership with third parties, seizing the opportunity to refine and automate processes and deliver more value, faster, to their clients.

·        As part of the broader Professional Services team this role also offers exciting opportunities to work on other relevant Consultancy assignments.

Person Profile:

·        Analytical with a keen eye for detail.

·        Strong organisational and time management skills.

·        Confident communicator, able to deal with individuals from different areas of the business as well as external clients.

·        Positive attitude and a strong work ethic.

Core Skills Required:

·        Analytical & problem solving nature with attention to detail

·        Able to work under pressure

·        Organisation & time management skills

·        Able to work independently as well as part of a team

·        Ability to maintain records and report MI to Line Manager

·        Financial services experience, specifically in pensions (ideally but not essentially in SSAS and SIPP)

·        Data migration and data cleansing / remediation experience

·        Microsoft SQL server knowledge

·        Microsoft Office and SharePoint

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    Pensions Operations Control

Leicester (our ref AL983)

Salary up to £25,000 pa dep on exp + benefits

Are you keen to make a difference in a dynamic organisation? Do you have a passion for putting the customer at the centre of everything you do?

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.

The Role

In your role as Administrator your primary focus will be ensuring that the Company complies with HMRC and other requirements in the course of providing pension scheme administration services and meeting its duty of care obligations as a trustee.     

The scope of the role covers the support of both pension administration functions and in particular the usage, management and reconciliation of the back-office systems.     

Key to success will be your attention to detail, your analytical and problem-solving skills, your focus on getting things right first time and your drive for continuous improvement.          

Key Accountabilities

·        Responsible for ensuring unmatched deposits/withdrawals on FNZ V8 are reviewed and matched daily, communicated to administration teams and are monitored/controlled ongoing

·        Responsible for ensuring unmatched deposits/withdrawals on Delta are reviewed and matched daily, communicated to administration teams and are monitored/controlled ongoing

·        Dealing with any reconciliation errors and correcting so all systems are accurate

·        Checking all sale orders on FNZ V8 are matched before deadline

·        Monitoring of the HMTL rec

·        RAS report anomalies reviewed and returned before submission

·        Review/authorise MCA's on FNZ V8

·        Involvement and ownership in raising issues directly with FNZ V8 to ensure that for any issues identified we know the route cause and agree the fix needed to platform to ensure this is resolved, and communicated to administration teams

·        Responsible for the payroll processes across all ESL back office systems

·        Ownership of HAdmin Dashboard related tasks to be reviewed and resolved or communicated to administration teams where applicable

·        Reconciliation of the Enhanced daily interest report

·        Ownership of the Cash Forecasting function writing to members with insufficient funds

·        Daily bank files downloaded

·        Responsible for owning and running the batch processes on Delta (contribution, RAS, Pension Payment, Payroll, Lease and invoice.

Who you are and the experience we are looking for

·        Comparable experience in a regulated pensions environment, ideally administering SIPP or involvement in reconciliations/operations control

·        Strong interpersonal and communication skills

·        A proactive and inquisitive nature with the ability to innovate and challenge in support of the business model we are operating.

·        Organised and self-driven with ability to adapt to fast changing environment

·        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.

Pension Administrator SIPP Operations

Leicester (our ref AL982)

Salary to £25,000 per annum dep on experience + benefits

Are you keen to make a difference in a dynamic organisation? Do you have a passion for putting the customer at the centre of everything you do?

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.

The Role

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

·        Ensuring company policy and procedures are adhered to at all times

·        Ensuring all Key Performance Indicators are met

·        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

Team Leader  SIPP Operations

Leicester (our Ref AL981)

Salary up to £34,000 per annum depending on experience + benefits

Are you keen to make a difference in a dynamic organisation? Do you have a passion for putting the customer at the centre of everything you do? 

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.

The Role

In your role as Team Leader, you will work closely as part of the Service Desk function in what is a critical part of their operations. The role is responsible for demonstrating and applying an exceptional breadth of understanding of the company, the products, and exception service for scheme members. 

Key to success will be your need to put the customer at the centre of everything you do, attention to detail and your focus on the team getting things right first time.

Key Accountabilities

·        Proactive and direct team management to ensure a back log is never created

·        Managing all work items through to successful conclusion

·        Manage daily workflow regardless of where they are being executed across the firm

·        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

·        Create and promote a culture of being the best in all that the team do

·        Line management of a team of pension and senior pension administrators

·        All work to be managed within SLAs and KPIs

·        Staff competence and delivery to be performance managed

·        Development and coaching of staff

·        Absence management

·        Productivity management

·        MI reporting

·        Build effective team relationships

·        Conformance to all internal and external policies and regulations (risk mitigation) and drive 100% adherence to policy from team members

·        Process analytics

·        Pre and Post issue checking

·        Complaints and FTR analysis

·        Continual process improvements

·        Engagement and management of key clients and contracts

·        MI coordination, analysis and delivery for management.

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

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

·        Able to multi task and work to meet deadlines under pressure, maintaining attention to detail

·        Solid risk and controls awareness

·        Excellent productivity management skills

·        Highly experienced in working within the regulatory frameworks (GAD rules, HMRC)

·        Exceptional attention to detail, for example reconciliations, MI and SLA

·        CII Certificate in Financial Administration (essential) with further professional qualifications such as CII R04, J07, J10 or J11 (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.

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.