Perspective is always looking for ambitious, talented and experienced individuals to join our nationwide Group. For more information or an informal discussion, please contact Ian Wilkinson, Chief Executive Officer, at email@example.com.
Business Monitoring Officer
Role Title: Business Monitoring Officer
Reports to: Business Monitoring Manager
Hours: Full time, Monday – Friday, 9am to 5pm
Salary: Dependent on experience, 25 days holiday, Pension, Life Assurance and more
Location: Flexibility to work from home or Head Office in Chorley, will be expected to attend Head Office and other sites as required.
Perspective Financial Group Ltd is a leading firm of financial planners, providing a wide range of financial services for both corporate and individual clients. Our services include comprehensive packages of advice, information and financial administration for both companies and private individuals. Our clients range from PLCs to sole traders and from high net worth individuals to those just beginning work.
We are a company of quality individuals with many years of experience and considerable expertise. Our extensive experience and understanding of the industry combined with the freedom of being privately owned, allows us to provide outstanding advice and an individually tailored service to each and every one of our clients.
This success is owed not just to the technical excellence of our people, but also to our commitment to giving practical, hands on advice and constant investment in our administrative function.
Perspective Financial Group Limited is one of the UK’s fastest growing Groups of Financial Advisers, enabling our clients to be party to the benefits this brings.
- To check the suitability of advice provided by Group Advisers to a high standard in line with the Regulator’s expectations.
- To check Periodic Suitability Assessments in line with MIFID II requirements and Group requirements.
- To assist with the education and training of new and existing Advisers within the Group to ensure that they have a thorough understanding of the compliance standards that need to be achieved and maintained.
- To make the Business Monitoring Manager aware where systemic problems are identified with any Adviser/Office and assist in the provision of appropriate training and guidance to address this
- To assist in other areas of Business Monitoring/Compliance, as required.
To undertake client file reviews in line with Group procedures covering all aspects of business written within the Group:-
- Construct a clear and professional report on each file identifying whether the Adviser has met the regulatory and internal compliance requirements.
- Provide both written and verbal feedback to Advisers regarding the findings of the review.
- Build rapport with the Advisers within the Group to ensure that good relationships are maintained across the Group.
- Assist with the development of internal systems and process within the Business Monitoring Team.
- Provide support to the Business Monitoring Manager and Chief Regulatory Officer, as required.
- Identify any negative trends and propose a resolution to achieve the required Group standards.
- Assist with planning and delivering File Review training to Advisers and Paraplanners within the Group, as required.
- Assist with Due Diligence exercises as required by the Chief Regulatory Officer.
- To act as a positive ambassador for the Group at all times.
- Excellent attention to detail and analytical ability.
- High standard of both written and verbal communication skills.
- Ability to work as part of a team and to provide constructive feedback in a positive manor.
- Highly organised with the ability to work to tight deadlines, when required.
- Confident to be able to assist the Business Monitoring Manager in delivering training and presentations both on a one to one and Group basis.
- Ability to self-motivate in self-learning and the recording of CPD.
- Diploma in Financial Planning (or equivalent) or working towards this
- Working knowledge of the UK regulatory framework
- A range of qualifications in ‘specialist’ areas e.g. Occupational Pension Transfers, Long Term Care, Trusts etc
- Minimum of 3 years financial services industry experience, preferably in a compliance monitoring/file review/technical specialist role.
- Excellent interpersonal skills; ability to coach
- Professional, positive, ‘can-do’ attitude
- Strong organisational skills
- A desire for continuous improvement and improving technical knowledge
For more information, or to apply please contact firstname.lastname@example.org