Current Vacancies

Office Manager

Derbyshire (our ref AL993)

Salary to £28,000 plus discretionary bonus

My client is a professional Wealth Management organisation and they now have an exciting opportunity for an individual with experience in this industry to join their team as Office Manager, working closely with the Director.  The role will be varied and requires excellent organisational skills along with outstanding people skills.

Responsibilities

·        Human Resources :  managing team, holidays, contracts, recruitment, dealing with staff issues, holding regular 1-1 meetings, team meetings and quarterly reviews, end of year reviews, payrises, bonus etc

·        Office maintenance :  stationary monitoring and ordering, requesting maintenance to be completed when required, managing energy contracts, keep all office supplies stocked up with regular stocktake and purchases, deal with any issues promptly eg problems with IT / Phones etc

·        Compliance :  ensuring team remain compliant re data protection, check letters to ensure high quality, complete annual applications to renew various memberships eg Chartered status with CII, read updates and send out to team, complete training / attend webinars and feedback to team

·        Business performance :   monitoring income to business, monitoring pipeline, reviewing staff performance against targets, review quality scores

·        Administration :   preparing Introducer paperwork, action incoming emails (external and from team) and monitor and action incoming emails for Director

·        Occasional :   covering other roles during holidays / absence - assisting clients, answering calls, greeting clients, assisting with client events

·        Regular meetings with Director to give an overview of all of the above and to take on adhoc tasks that may come in, diary management for Director for non clients meetings

·        Finance :   process invoices, make payments, research and make large office purchases / find best prices for all office outgoings, review deals, process client sales / purchases

What skills and attributes we are looking for:

·        Excellent organisational skills

·        Experience in team management

·        Experience within the Wealth Management, Investments or Pensions industries

·        Excellent communication skills, both with clients and colleagues

·        IT literate

·        To present yourself in a smart and professional manner

·        An understanding of FCA Compliance requirements

If this role is of interest, please apply with an up to date CV.  We aim to respond to all applications within 10 days.  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 Administrator

Bromsgrove (Our Ref AL992)

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 & 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/general business to provider & 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 telephone manner

·        Excellent team player

·        Proficient in IT skills and knowledge of industry software preferable

·        High level of word processing and spread-sheet 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 within 10 days.  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   Regulatory Reporting

Fixed Term Contract 12 months (our Ref AL991)

Salary to £23,000 + benefits

Our client, a specialist pension provider in Leicester City Centre has a new 12 month fixed term opportunity for an individual who has outstanding excel spreadsheet skills to join their team.

The Role

In your role as an Administrator in the Regulatory Reporting team, you will be responsible for completing and submitting reports within specified timeframes and deadlines required by HMRC, the Pensions Regulator (TPR), Information Commissioner's Office (ICO), the Financial Conduct Authority (FCA) and internally within the Group. This will involve data collection and collation, reconciliation from various databases within the Group and liaising with people in other areas such as Operations. There is also the need to communicate with clients on some occasions of a technical nature related to this specific role.  Around 80% of day to day of the role is based on excel spreadsheets (pulling reports, collating data etc) therefore the candidate will need excel skills to a good level (ability to do vlookups etc).

 Key Accountabilities

·        Completing reports with set deadlines by regulatory bodies (HMRC, FCA, ICO etc.)

·        Ability to obtain information and data from internal and external sources.

·        Ability to build relationships with key stakeholders, both internal and external.

·        Be able to work as part of a team and independently.

·        Take ownership of day-to-day work.

·        Completing in house training and eLearning within required timeframe.

·        Ensuring service standards are met consistently and with accuracy.

 Who you are and the experience we are looking for

·        Ideally a minimum of one years experience in a comparable role with knowledge of HMRC, FCA reporting and experience in confidently communicating with regulatory bodies.

·        Around 80% of day to day of the role is based on excel spreadsheets (pulling reports, collating data etc) therefore the candidate will need excel skills to a good level (ability to do vlookups etc)

·        Exceptional accuracy and attention to detail.

·        Demonstrable skills following an organised, methodical and logical approach to reporting.

·        The ability to multi-task and work in a fast-paced environment to meet deadlines under pressure while maintaining accuracy and quality.

·        Exceptional written and oral communication skills.

·        The ability to be a responsible team member who works for the benefit of their team, the department and the Company.

·        Chartered Insurance Institute (CII) qualifications or studying towards an advantage but not essential.

If this role is of interest, please apply with an up to date CV.  We aim to respond to all applications within 10 days.  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 AL990)
Salary to £25,000 plus excellent 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 our 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 within 10 days.  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 Senior Review Team

Leicester (our Ref AL988)

Salary to £28,000 per annum

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 this role you will work closely with the operational functions, specifically the Service Recovery and Senior Review functions, to ensure 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. This role is responsible for ensuring the company operates exceptional process and controls, manages strong counterparty relationships (internal and external) and has responsibility for account managing death benefits and Pensions Sharing Orders through to payment/completion.

 Key Accountabilities

·                    Building effective relationships with internal and external clients.

·                    Knowledge, interpretation and understanding of HMRC and relevant legislation, regulations and guidance

·                    Maintaining understanding of governing legislation within the team and wider business

·                    Working with the operational management team to identify and delivery training where required

·                    Account management of death benefit and divorce cases

·                    Maintaining records for death and divorce cases and owning reporting from the database

·                    Focus on Trustee roles and responsibilities

·                    Understanding of AML regulations

·                    Remedial project work and forensic reviews

·                    Maintaining and demonstrating knowledge of Trust Deed and Rules

·                    Driving continuous process improvement in operations processing to ensure quality of delivery and risk controls are maintained within the most efficient processes available.

Who you are and the experience we are looking for

·        At least 3 years' comparable experience in a complex regulated environment, ideally in SIPP and SSAS administration

·        Graduate calibre

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

·        Full understanding of HMRC requirements

·        Knowledge of Pensions Tax Manual

·        Exceptional judgment and communication skills

·        Solid risk and controls awareness

·        Clear communications skills

·        Professional qualifications including CF1, CF2, CF4 and FA2 desirable but not essential.

If this role is of interest, please apply with an up to date CV.  We aim to respond to all applicants within 10 days.  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.

Risk and T & C Officer

Nottinghamshire (our ref AL986)

Salary c£35,000 + benefits

My client, an established Wealth Management organisation has an opportunity for an experienced Risk and T & C Officer to join their team.

Key Responsibilities and Accountabilities:

Risk

• Responsible for the completion of the Compliance Monitoring Program, including staff performance records
• Maintain the accuracy of company risk registers and records
• Review and embed through coaching, company risk procedures
• Support with client complaints, company breaches and access requests
• Produce monthly risk MI
• Update the annual MLRO and Compliance Report
• Respond to the regulator when required
• Become a subject matter expert in key risk areas such as SM&CR, GDPR, AML, MifiD and Product Governance
• Review policies, systems, processes and effectiveness of systems and controls
• Co-ordinate the PII data prior to renewal
• Undertake thematic reviews of risk based upon responses to MI and business need
• Keep abreast of industry changes and regulation

T&C

• Ensure all record keeping is up to date for the business
• Produce MI highlighting trends for the Financial Planners
• Supervise the Financial Planning team by performing 1:1s and creating Training and Development Plans
• Update and maintain the T&C schemes and necessary documents
• Work with Head of Advice and Risk to recommend necessary actions
• Conduct thematic checks to help embed any process or change.
• Coordinate and manage the recruitment process for other hiring managers
• Welcome all joiners to the company by overseeing and coordinating their inductions
• Ensure all leaver and joiner processes and records are accurate, coordinating their journeys

If this role is of interest, please apply with an up to date CV.  We aim to respond to all applications within 10 days.  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.

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.