Current Vacancies

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.

SIPP Team Lead

Salary to c£32,000 pa (negotiable) + benefits

Leicester City Centre (our Ref AL965)

A number of exciting opportunities have arisen with a very long established and well respected Pensions Company, who are opening a new operation in Leicester City Centre.

Role overview

We are looking for a Pensions Team Lead to join our team.  This is a great opportunity for someone with strong pensions experience looking to progress further in their career. You will be working within a friendly environment in modern City Centre offices and will be provided with full support and encouragement to achieve your career goals.

You will be positive, professional and experienced and must be able to work on your own initiative to produce quality work on a timely basis. In addition, you should help to build an improved service offering in the department by contributing your time and expertise to the team.  

As a Team Lead you will be dealing with the administration of the pension schemes along with delegating work to your other administrators.  You will be responsible for managing and processing all aspects of the pension and deal directly with clients and advisers.

Key responsibilities

·        Receiving instructions and ensuring that any task activity is accurately completed

·        Building and maintaining good relationships with clients and advisers

·        Informing clients and financial intermediaries of specific matters or issues affecting their schemes, especially actual or potential problems

·        Ensuring that client deadlines, all internally agreed key performance indicators, service standards and regulatory reporting requirements are met.

·        Proactively identifies risk within the department and escalates concerns appropriately

Skills and experience 

·        At least 3 years pensions experience

·        At least 6 months management or team lead experience

·        Strong Administrative skills

·        Ability to identify and process data

·        Customer focused

·        Drive to continually improve your knowledge and skillset

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.

SIPP Administrator

Salary to £25,000 pa (negotiable) + benefits

Leicester City Centre (our Ref AL964)

A number of exciting opportunities have arisen with a very long established and well respected Pensions Company, who are opening a new operation in Leicester City Centre.

Role overview
We are  looking for a Pensions Administrator to join their team, this is a great opportunity for someone with some pensions experience looking to progress further in their career. You will be working within a friendly environment in modern City Centre Offices and will be provided with full support and encouragement to achieve your career goals.
 
You will be positive, professional and experienced and must be able to work on your own initiative to produce quality work on a timely basis. In addition, you should help to build an improved service offering in the department by contributing your time and expertise to the team. 
 
As a Pensions Administrator you will be dealing with the administration of the pension schemes (SIPPs).  You will be responsible for managing and processing all aspects of the pension and dealing directly with clients and advisers.
 
Key responsibilities

• Receiving instructions and ensuring that any task activity is accurately completed
• Building and maintaining good relationships with clients and advisers
• Informing clients and financial intermediaries of specific matters or issues affecting their schemes, especially actual or potential problems
• Ensuring that client deadlines, all internally agreed key performance indicators, service standards and regulatory reporting requirements are met.

• Proactively identifies risk within the department and escalates concerns to Team Leader

 
Skills and experience

• At least 1 year pensions experience
• Strong Administrative skills
• Ability to identify and process data
• Customer focused
• Drive to continually improve your knowledge and skillset

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.

Product Specialist    Pensions IT

Nuneaton, Warwickshire (Our Ref AL960)

Salary range £26,000 to £32,000 pa depending on experience plus generous benefits

An exciting new opportunity has arisen within this expanding and forward thinking specialist IT System Support provider for the pensions industry.  Working within a team of dedicated and ambitious individuals, your role will involve:

·       Providing excellent customer service to system users.

·       Answering technical queries

·       Acting on client feedback and forwarding on requests to the Development Team

·       Managing the expectations of users

·       Arranging system upgrades with users

·       Carry out client upgrades

·       Update internal systems post upgrade

·        Addition of user licenses & modules upon request

·        Testing new & existing system functionality

·        Documenting processes and testing results

·        Providing feedback to Product and Development team on product quality to ensure that applications are fit for purpose

·        Preparing data for testing

·        Collaborate on creation of test plans

·        Remote training (webinars & e-learning)

·        Preparing data for training

·        Preparing documentation for training

·        Updating training records

·        Remote demonstration sessions

·        Mentoring Apprentice Product Specialist

What you will need:

·        Knowledge of the pensions industry, ideally SSAS and SIPP

·        Confidence in dealing with specialist industry IT systems

·        Excellent customer service skills

·        Outstanding communication skills

·        A desire for continuous personal development

·        The ability to work accurately whilst meeting deadlines

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 Scheme Secretary

Nottingham (our ref AL961)

Salary c£40,000 - £50,000 + benefits

My client is a leading professional pension trusteeship and governance firm. They provide a broad range of experience and in-depth expertise to meet client needs across the full spectrum of pension trusteeship and governance services and now have an exciting new opportunity for an experienced Pension Scheme Secretary to join their team.

The role and the person:

·        Self-starter, able to work unsupervised and occasionally remotely

·        Will be client facing, required to attend client scheme meetings (i.e. meetings of trustees) usually at client locations throughout the UK

·        Work on a varied portfolio of client schemes, large and small

·        Possess a good working knowledge of pensions law and practice for all types of occupational pension schemes DB, DC and Hybrid schemes

·        Able to use of all types of online communication tools including managing data in on-line portals (i.e. Board Pack/Effects)

·        Responsible for arranging trustee meetings, drafting agendas, meeting notes and minutes, maintaining and follow up of action logs

·        Liaise with professional advisers e.g. actuaries, lawyers

·        Act as point of contact for trustees and advisers

·        Possess project management skills

·        Work in small existing secretarial team of 3 people

·        Minimum 5 years experience 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.

Director of Operations and Regulation

Nottingham (Our Ref AL958)

Competitive Salary and flexible working hours will be considered (minimum of 3 days per week)

My client is seeking an experienced professional, ideally having worked in Asset Management, to be responsible for the effective and efficient running of operational and financial matters, with specific compliance responsibility within the business.

The role will support and advise the Board in managing and developing long term plans for the business which will include oversight of operational risk, development of risk mitigation strategies and responsible for countering financial crime risk.

Key Responsibilities

• To review and assess the firms activities to assess compliance and operational risk whilst proactively leading on and building technical compliance frameworks.
• Provide advice, guidance and support to the Board and staff on compliance, finance and operational issues.
• Shape the firms activities to ensure compliance with all relevant FCA regulations involving the introduction of policies, systems and controls delivering training and conducting ongoing compliance monitoring and reporting.
• Preparing and transaction of all regulatory reporting to FCA (via Gabriel and Connect systems) reporting.
• Conduct Compliance Monitoring Program ensuring findings from monitoring are actioned in a timely manner.
• Preparation and updating of internal ICAAP process, oversight of financial reporting.
• Oversee complaints handling process, investigating and resolving complaints arising.
• Responsible for the MRLO function within the business and provide guidance and expertise in relation to operational risk.
• Build cyber risk resilience by understanding the changing developments in relation to cyber risks, IT and digital technology.

Essential Skills and Competence

• Knowledge of industry regulations, particularly in relation to the operation of Collective Investment Schemes.
• Demonstrate an analytical approach to operational problem solving and decision making.
• Demonstrable experience as a key influencer at board level, with the ability for long term strategic thinking and application.
• Ability to interpret, understand and communicate legal and regulatory rules and guidance.
• Highly developed communication and influencing skills and an ability to converse with stakeholders at all levels.
• At least 3 -5 years experience in a senior role, preferably with Compliance and Finance experience in an Asset Management business.
• Strong written and verbal communication skills.

• Degree level education (Finance, Law, Business, Mathematics).
• CISI Investment Administration Qualification.
• Relevant professional qualification (e.g. ICAEW, Legal qualification).

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.

Practice Manager  Wealth Management

Near Coventry (Our Ref AL959)

Salary to £35,000 pa + benefits inc generous holiday and pension scheme

My client is a successful and highly reputable IFA Practice located in Coventry, providing holistic advice across Investments, Retirement, Protection and Inheritance Tax Planning to wealthy private clients largely from an entrepreneurial background and the medical profession across the UK. They have embarked on an ambitious 10 year plan for rapid expansion of both our client base and back office staff team which has given rise to an exciting new opportunity.

The Opportunity

They are actively seeking to recruit a skilled individual to carry out the Practice Manager role within a fast-paced business. The role will involve supporting a successful and very busy Director/IFA and carrying out all the usual duties of running a busy office and supporting the Advisor. The brief includes managing what is currently a small but expanding team, all the internal services, processes and procedures, ensuring client satisfaction remains very high and the client base and business grows. This role also has some responsibility for Accounting Control and Marketing, to facilitate further growth.

Practice Manager - Duties

·        Reviewing existing procedures and maintaining the delivery of business administration and its systems

·        Ensuring that the business activities are processed and tracked via the companys back office/CRM system

·        Managing staff including performance and service delivery

·        Assisting in arranging and co-ordinating key marketing events throughout the year 

Practice Manager - Candidate Requirements

·        Have experience managing a back office/CRM System (Experience with Intelligent Office would be an advantage)

·        Being able to take instruction, prioritise and delegate in a fast-paced environment

·        Be a resourceful individual and a fast learner

·        Must have experience of managing a team and running a Financial Services Practice

·        Strong management, organisational and communication skills

·        The candidate must have an excellent telephone manner, be a self-starter, is expected to have a high level of independence and responsibility as well as being involved in a wide range of client-related work

·        A positive and hardworking approach and a proven ability to deliver

·        Some financial planning knowledge/qualifications is advantageous (further enhancement to any existing knowledge/qualifications will be supported)

·        Positive attitude and can-do mindset

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.

IFA Administrator

Warwick (ref AL957)

Competitive salary + benefits

12 month maternity contract, starting January 2020

My client is a well known, National IFA and Employee Benefits company and they have an opportunity for an IFA Administrator to join their team on a 12 month maternity contract.

As an Administrator within the Private Clients division, you will be working closely with a small team of IFAs, who provide holistic wealth management advice.  You will be responsible for providing efficient and effective administrative support, processing new business submissions, liaising with Paraplanners and IFAs to assist with the advice process and the creation of suitability reports as well as providing timely and accurate valuations.

The Ideal Person

You will have previous experience of working in a similar role (ideally in an IFA environment). Naturally, you will have excellent verbal and written communications skills, combined with a flair for problem solving and of course, excellent planning and organisation skills.

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.

Mortgage and Protection Administrator

Bromsgrove (Our Ref AL956)

Salary to £25,000 + benefits

My client is well established and now has an exciting new opportunity for an experienced Mortgage Administrator to join their team.

The Role:

Mortgage Application Processing

·        Dealing with providers, lenders and clients for case progression and case placement

·        Dealing with solicitors and conveyancers regarding exchange/completion dates

·        Managing review dates for existing clients

·        Ensure all necessary documentation is held within the clients file, meeting FCAs rule and regulations

New Client input into Client Database

·        Update and maintain client details in Client Database

·        Check all Anti Money Laundering information is current

·        Ensure all disclosure documents are signed, dated and uploaded to database

·        Prepare and send-off authority letters and send to client for signature

·        Input details of existing mortgages and protection policies

Adviser, Client, Provider Requests

·        Obtain illustrations, application forms, Key Feature Documents and other relevant supporting documentation

·        Prepare suitability reports for adviser to check and amend where necessary

New Business Submission

·        Submit new life and general business to provider and enter details of case into Client Database

·        Track new business and current position, updating Adviser accordingly

Skills, Knowledge, Qualifications and Behaviours:

Primary

·        Minimum of one year in a Mortgage Administration role

·        Familiarity with mortgage, protection and GI research and sourcing software

·        CeMAP qualified an advantage but not essential (or equivalent)

·        Excellent understanding of the Mortgage application process

·        Excellent communication skills at all levels

·        Excellent telephonemanner

·        Excellent team player

·        Proficient in IT skills, knowledge of industry software preferable

·        High level of word processing and spreadsheet knowledge

Personal Skills

·        Good planning and effective organisational skills

·        Honesty and integrity with a methodological approach to work

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.