Current Vacancies

Compliance File Reviewer

Nottingham (our ref AL877)

Salary £25,000 - £30,000 plus benefits

A highly regarded regional IFA & wealth firm with a successful track record of organic growth, staff retention and development have an opportunity for a Compliance File Reviewer.

The primary duties of this role will be to deliver compliance quality review across financial adviser business being submitted.

The practice provides independent financial advice with a primary focus towards retirement, pensions, investments and wealth planning.

Role requirements

·        Accurately review pre and post-advice file checks

·        Identify corrective action and record errors following up any remedial actions to completion

·        Ensure that industry regulations and internal policies are met

·        Raise standards of the adviser population through maintaining accurate client records

·        Work closely with members of the compliance team, FCA and provide support where required.

·        Provide support to the Head of Compliance & Governance to improve processes within the department

·        Other ad hoc duties as required.

Candidate requirements

·        You will ideally have 12 months industry experience of investment and pension files checking and ideally hold the level 4 qualification in Financial Planning or be studying towards that.

·        A good understanding of pensions and investments is desirable.

·        High attention to detail

·        An understanding of FCA regulation

·        It is essential that you have good communication skills across all areas, are self-motivated, proactive, logical, analytical and have a good work and team ethos.

If this role is of interest, please apply in confidence 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. Our full Privacy Notice can be found on our website.

Paraplanner

Leicestershire (Our Ref AL876)

Salary to £40,000 depending on experience

My client, a Pension and Investment specialist, has an exciting new opportunity for an experienced individual to join their small team.  This varied role will encompass paraplanning, compliance and systems management, so previous experience covering all three areas is preferred. 

The Role:

·        Paraplanning - Report writing following Advisers client meetings, a large proportion of which are review meetings

·        Preparing files for meetings and processing them post meeting

·        Diary management, booking in reviews etc.

·        Upload portfolios onto Old Mutual Wealth.

·        Dealing with telephone enquiries

·        General PA / Administration duties as necessary, although most of this will be carried out by the Administrator

·        Compliance - submitting FCA report information and ensuring all FCA requirements are met

·        Working through a compliance diary to ensure all compliance duties are carried out as and when they are required.

·        Work closely with the companys external compliance partner

·        Project Work - devise / implement a back-office system to encompass a back catalogue of around 4 years business (will be an ongoing project, estimate 1-2 years)

The Person

·        Self-motivated with the ability to work independently

·        Experience within Pensions and Investments

·        Good knowledge of compliance requirements

·        Report writing experience

If this role is of interest, please apply in confidence 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. Our full Privacy Notice can be found on our website.

Telephone Based Wealth Adviser

Nottingham  (Our Ref AL875)

Salary to c£40,000 per annum plus benefits

My client is a prestigious Wealth Management organisation based in Nottingham and due to continued growth, they have a new vacancy for a Telephone Based Wealth Adviser to join their team.

·        To conduct annual suitability reviews for existing Affluent clients by telephone

·        To update client records via completion of Client Profilers

·        To make recommendations to benefit the finances of clients

·        To update all necessary systems

·        To complete all administrative requirements in line with company procedures.

·        To highlight opportunities and refer cases to face to face advisers where necessary

·        To deal with ad hoc queries from your client base

·        To work in conjunction with your support team to achieve the company’s objectives.

·        To maintain Management Information statistics

The ideal candidate will be fully CII qualified and have proven experience working within Wealth Management.

We envisage this role may suit an experienced and CII qualified paraplanner wishing to take the next step in their career towards advising, or a field-based adviser who wishes to create a work / life balance and undertake an office-based role with set working hours.

If this role is of interest, please apply in confidence 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. Our full Privacy Notice can be found on our website.

Senior Wealth Management Administrator

Nottingham (our Ref AL873)

Salary £19,000 to £29,000 depending on experience plus benefits

My client is a successful Wealth Management Organisation based in prestigious offices in Nottingham dealing with Investments, Pensions and Mortgages.  Due to continued growth, they now have an exciting new opportunity for an experienced Wealth Management Administrator to join their team.

The role will be varied and will include:

·        Maintaining effective diary system to ensure clients are offered review meetings at the appropriate time.

·        Contacting clients to book review meetings

·        Preparing meeting packs for Advisers including valuations and all other relevant documents

·        Ensuring that client meeting notes are recorded on the system

·        Constructing appropriate post meeting letters for issue to clients

·        Meeting and Greeting Advisers clients when meetings are held onsite.

·        Updating online systems

·        Sending off any Letters of Authority bought back from client meetings 

·        Processing change of address requests, updating systems and notifying the administration centres.

·        Updating systems and administration departments of any Death notifications following the Death Process.

·        Making adviser aware of documentation received in relation to their clients and providing general support as required.

·        Acting as a point of contact for clients and deal with routine issues/queries.

·        Client celebration cards and sympathy cards to be arranged as necessary and sent to clients.

·        Stationery stocks to be maintained ensuring all documentation is current

·        Completion of Confirmation Withdrawal and Rebalance Letters and Confirmation Fund Switch Letters

·        Submission of New Business

·        Preparation of  Sign Up meeting packs for Advisers

If this role is of interest and you have previously worked with a wealth management environment, then 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. Our full Privacy Notice can be found on our website.

Senior Product Support Specialist

Pensions IT - SIPP & SSAS

Nuneaton, Warwickshire (Our Ref AL872)

Salary to £32,000 pa

Exciting new opportunities have 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 and induction training for new clients, both on and off site

·      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 and you have worked within pensions, financial services and / or the IT industry, then please apply with an up to date CV or call Angela Liscombe at North Oak Recruitment for a confidential 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. 

IFA Administrator

Part time   21 hours per week across 3 days

Nottingham (our ref AL871)

Remuneration - £12.50 per hour

My client is an established Independent Financial Advisory company, offering clients the full range of wealth management and specialist retirement advice.  They have an exciting new opportunity for an individual who has previous experience working within an IFA environment to join their small team based centrally in Nottingham.

The role involves providing a full administration service to 2 IFAs, to include:

New business processing, and chasing through to completion

Managing and updating tasks on back-office system

Chasing fees

Processing Letters of authority

Chasing providers for outstanding information

Answering the telephone

Dealing with incoming post

Scanning and saving documents to back-office system

Client and Provider liaison

Client research and preparation for adviser meetings with clients

The ideal person for the role:

IFA administration experience 

Experience of using industry back-office systems, ideally Intelligent Office

Experience of using Platforms/Wraps

Knowledge of Pensions and Investments

Basic compliance knowledge and understanding of what makes a compliant file

Excellent organisational and prioritising skills

Excellent written and spoken communication skills

Good computer literacy and typing skills

Comfortable following prescribed processes

Able to work alone using own initiative

Industry qualifications will be an advantage, but are not essential

If this role is of interest, please apply with an up to date CV or call Angela Liscombe at North Oak recruitment for a confidential 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.

Investment Management Projects Administrator

£competitive plus benefits

Nottingham Full Time

Permanent (our ref AL869)

My client is a prestigious and award-winning organisation in Nottingham City Centre providing Wealth Management Advice to individuals and businesses across the East Midlands, in specialist areas such as IHT, Pensions, Cash Flow Modelling and Life Insurance.

Working with Independent Financial Advisers, Paraplanners and Administrators you will be determined, self-motivated and comfortable working under pressure towards tight deadlines.  You will have good communication and people skills and be a self-motivator.

This is a rewarding role in a forward thinking and progressive company for the right individual who is committed to personal development.

As a successful candidate, you must have the ability to manage projects using your own initiative and to assist with the training and monitoring of other administration staff within the department. You will also need a good in-depth knowledge of financial services systems and processes.

Previous experience within the financial services industry is essential for this role, as is the ability to work to multiple deadlines and prioritise your time. Good IT skills are a must and working towards your CII administrator qualifications is desirable.

If you are interested, please apply in confidence 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. Our full Privacy Notice can be found on our website.

IFA Administrator / Client Account Manager (ref AL868)

Leicestershire

Competitive Salary + benefits including parking

My client is an IFA with a reputation for quality and professionalism.  They are now looking to appoint an experienced Client Account Manager to provide a first class administrative service to their Independent Financial Advisers.

The Role

• Preparatory work for Client meetings
• Attending clients meetings where needed and taking of meeting notes.
• Coordinating of action points from meetings and completing work required.
• Dealing with client telephone calls.
• Managing client expectations and building client relations.
• Research, preparation and collation of information in relation to advice being given to clients.
• Drafting of suitability letters/reports where required.
• Liaising with insurance companies on client queries. 
• Requesting illustrations required in respect of new and existing business
• Processing of new business to completion and in line with our Administration and compliance procedures.
• Ensure any administration work completed is compliant and completed within the admin and compliance procedures.
• Preparation and completion of drawdown reviews for SIPP clients.
• Managing of Tasks and annual review dates.
• Updating client records and ensuring that the electronic folders and paper files are in good order and in line with our procedures.
• Responsibility for ensuring that the information in the Fees & Commission Spreadsheets are correct.

The Person

• Ability to manage time and workload
• Knowledge of Wealth Management and industry products and services
• Problem solving and analytical skills
• Knowledge of back office systems (ideally Advisor Office/Outlook/Excel etc)
• Outstanding customer service and relationship building skills
• Attention to detail and accuracy
• Ability to use initiative and be self-motivated
• Ability to work effectively as part of a team including providing support and guidance to other team members
• Ability to communicate effectively at all levels
• Ideally Fully or working towards  DipPFS with a minimum of 5 years industry experience, however applications are welcomed from individuals with less in the way of qualifications who can demonstrate relevant hands on experience.

If this role is of interest, please apply in confidence with an up to date CV to Angela Liscombe at North Oak Recruitment.  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.

Mortgage Advisor

Mansfield, Nottinghamshire (our Ref AL867)

Basic Salary to c£30,000 + benefits and quarterly incentive

My client is a global wealth management company and they have an exciting opportunity for a CeMAP qualified individual to join their mortgage advising team.

All leads / enquiries will be provided and will be of quality from the company’s existing client bank and from new enquiries generated by marketing activities.

The role is office based and you will provide your advice to clients over the phone and through digital media.

The qualities we are looking for are of course, proven past experience in mortgage advising, excellent communication skills along with self motivation, a desire to provide outstanding client service and a desire to achieve.

If this role if of interest please apply with an up to date CV to Angela Liscombe at North Oak Recruitment.  Please note, in order to be considered for this role, you must be CeMAP qualified.