IFA, Somerset

My client is an established financial services firm providing advice since 1975 looking for an IFA to join their team based in Somerset. There is the opportunity of taking over the management and ownership of the business in two to three years time.

The company has expanded steadily for more than a quarter of a century and now has more than one thousand private and corporate clients spread throughout the UK. The company has carefully assembled a small team of very experienced advisers who are dedicated to providing clients with the very best financial advice.

The advisers are able to help with most financial planning matters but each member of the team has been chosen primarily for their expertise and experience in the areas of investment and pensions.

The very latest technology is used to ensure that the team has access to all the information needed to provide the quality of advice on which the reputation of the company has been built.

They wish to continue to develop this team and wish to recruit a quality financial adviser who in two to three years time will be able to take over the management and ownership of the business.

Key Points
• Prestigious Company brand, established 1975
• Superb marketing material
• Help with developing professional connections
• Full admin support from qualified staff
• IT support, research tools and library

To apply for this position, please click here.

IFA, Dundee

My client is an award winning financial services group and one of the largest financial adviser firms in the UK, seeking in IFA in Dundee.

£30,000 + car allowance and benefits and open ended bonus.

You will be responsible for providing whole of market advice to a wide range of clients in the Dundee area, particularly on investments and inheritance tax planning. The role is to cover a number of leads that will be provided and to service your own allocated review clients. You will have a proven record of sales success covering savings, pensions and investment advice and an outstanding ability to develop and maintain long-lasting client relationships by providing appropriate and understandable advice.

You will need to have the relevant qualifications and experience within the financial services arena. Minimum expectations are FPC or CEFA qualified. Ideally you’ll be progressing towards or willing to progress towards CII Diploma level exams. You must have previously held CAS status (6 months) and been working in an advising capacity hitting and achieving personal sales targets. IHT experience is not essential as training and development will be provided.

To apply for this position, please click here.

nor

IFA, Oxfordshire

Financial Services Vacancies: 2 IFA’s sought for one of the oldest established private financial services companies based in North Oxfordshire.

Fee based income as a self employed consultant with solid percentage mix bonuses and full admin support.

My client is one of the oldest established private financial services practices in the UK, based in Oxfordshire, they are seeking two additional IFA’s to join the team as part of the company’s continuing development and succession planning programme. The position and the person are expected to develop to management level as part of this programme.

You will be highly qualified, self sufficient, experienced and fully conversant with all aspects of a first class, client orientated, financial services operation. You should be Chartered or well on the way to becoming so. You should have your own current client bank and will be naturally discreet, articulate and educated to degree standard or equivalent.

Finally, you will be enthusiastic, positive and perhaps looking for a place to develop your client and business management skills, to realise your potential and enjoy working within a team whilst contributing to the growth of the practice.

Apart from managing and further developing their own client bank, you will have the opportunity of working with high net worth clients in and around the region.

You will be well qualified, with a minimum of FPC/CFP and ideally Diploma qualified (or equivalent) although the company fully support advisers continued development.

To apply for this position, please click here.

Financial Services Compliance Vacancies at IFA Life Jobs

IFA Life Jobs currently has a large number of financial services Compliance vacancies at all levels of seniority, located throughout the country.  To view more details please click here.

Compliance Monitoring Officer, Stockport

Financial Services Compliance vacancy in Stockport.  Compliance Monitoring Officer: 


Our Client is a major player within the IFA Market. They now wish to add to their already busy Compliance Team and want to meet with Compliance Professionals, in the Stockport area, who ideally have experience of working within a Desk Based Compliance Monitoring Environment.

Purpose of The Role:

To Establish / Maintain and develop standards for best advice and to improve relations between my Client and the IFA.

Key Responsibilities of the role:

1. To assess client files to ensure that Business quality standards are being met

2. To feedback the results to the Registered Individual and T & C Supervisors

3. To comply with all applicable FSA rules and requirements relevant to the role.

Objectives - Associated Activities Key Tasks:

• To assess an agreed number of client files per day within the agreed criteria and record the results of the assessment

• To assess the client files within the agreed criteria.

• To ensure, through constant communication with the registered Individuals, that an agreed number of cases per week are signed off.

• To ensure our Registered Individuals follow all Compliance and Training & Competence processes rules and procedures

• To be able to communicate effectively where remedial action is required and what the outcome of such remedial action is likely to be

Experience and Qualifications:

• At least FPC and CeMAP or equivalent and willing to progress towards the Diploma status under the CII.

• Good understanding of the group’s Training and Competence scheme and Compliance quality standards, and how to manipulate those in the day to day running of your work load.

You MUST have Previous or Existing Experience of working within a Compliance or Paraplanning Role.

There is also a Good Benefits Package available


To apply for this position please click here.

Compliance Officer, Leeds

Financial Services Compliance vacancy in Leeds. Our Client is a well recognised IFA Organisation and based in Central Leeds. They are now looking to meet with an experienced Compliance Officer. 

Purpose of the Role:
•To provide support to the Compliance Director with the cultural integration, management and development of the compliance department’s profile within the business. 
•To maintain and develop procedures to show adherence with the principles and the rules of the FSA, and which promote the concept of "Treating Customers Fairly" across the Group. 
•To provide guidance and support to Advisers, Sales Managers and Directors to ensure close adherence to compliance, training and competence and anti-money laundering procedures.

Principle Accountabilities:
•Oversee the regular monitoring of adviser’s client files by an external consultant to ensure the remedial action is correctly documented. 
•Review financial promotions and stationery.
•Assist in the interpretation of current regulations and act as a business enabler.
•Manage and develop risk based monitoring of advisers including KPIs, CPD and file reviews.
•Assist in the implementation of TCF across the group.
•Visit the regional branches of the Group on an ad hoc basis to conduct audits, and ensure compliance with FSA regulations, whilst inspiring a positive compliance culture.
•Provide support in the induction process for new employees to include ensuring the necessary regulatory approvals are in place, training undertaken and written declarations received and documented. 
•Assist with the resolution of complaints.
•As part of a small compliance team other compliance duties and project work will be undertaken, as required.

Experience Required:
•A good understanding/working knowledge of the FSA Handbook and the Anti-money laundering guidance. 
•The ability to prioritise own workload, be self-motivated, organised and disciplined.
•Able to work as part of a team, but also be comfortable working in isolation, as necessary.
•Strong interpersonal and communication skills at all levels.
•Experience of working in an "adviser-facing" role is desirable.
•Has the ability to understand the business needs of a growing firm of independent financial advisers.
•Has good IT skills, in particular Word, Excel and Outlook.

Qualifications:

* Minimum requirement is FPC qualified.

There is also a Discretionary Bonus Payable along with a Benefits Package.

To apply for this position, please click here.

International Investment Adviser, London

This is an exceptional opportunity to work with a leading global Wealth Management business as an International Investment Adviser, providing a comprehensive financial planning service to clients on an International basis based in London.

Working closely with both introducers and clients you will enjoy the comprehensive technical and sales support that only an established and successful business such as this can provide. With access to experts in a multitude of disciplines you will be able to easily position yourself as a major player in the market and quickly gain the respect of new clients. You will be involved in the full business cycle from creating a structured business strategy and planning and implementing marketing initiatives to advising on complex financial matters and products.

In order to apply successfully for this opportunity, you will be an established Investment Adviser with a thirst for knowledge; someone who has a strong desire to continue learning and developing their technical, business and sales skills on an ongoing basis. You will need to be a natural relationship builder of high integrity who functions most effectively as part of a high performance team. You will also need to have achieved full CEFA, FPC, IFA or CFP or a recognised industry equivalent qualification, along with being at, or being able to demonstrate tangible progress toward the diploma level 4 qualification for regulated advice.

A basic salary of up to £65,000 is being offered depending on experience, plus bonuses.

To apply for this exciting opportunity, please click here.