The Compliance Support

We’re sure you’ve not managed to avoid all the noise and disruption we’re currently facing courtesy of Covid-19 – unfortunately, we’re no exception! We’re all remaining positive (and continuing to nurse our dry and sore hands!) however, we’ve taken the decision to postpone our Spring cohort this year in a bid to minimise any further disruptions to the team. We take our recruitment and onboarding incredibly serious and unfortunately, the timing isn’t right, right now.
We are still taking applications and will be back in touch when the corona-dust settles and hopefully, we can pick up where we’ve left off!

The Role

The compliance support role was introduced in 2018 and is suited to someone who is forward thinking and willing to bring their own ideas to what is essentially a new role within a new company. You will undertake on the job training alongside studying for your Level 4 Diploma in Financial Planning over a two year period, on your very own personally developed learning programme.

On successful completion of your probation you will start become an expert in regulation and the rules and guidance that advisers need to follow to ensure their business, and its practices, are meeting industry guidelines. You will get involved with carrying out client file reviews, providing constructive feedback and ensuring that these responses are accurately recorded and tracked accordingly on the Apricity system.

As your role develops over the two years, we may require you to attend events, represent the company and get involved with the promotion and development of the business. By now, you will have a good understanding of your role, and ideally will be getting involved in assisting clients with technical queries, helping provide content for the system and providing our clients with a comprehensive compliance service. We will expect you to keep up to date with changes to regulation and help implement ways to keep our clients up to date with changes and provide them with relevant training resources.

The Qualifications

Your initial qualifications will be under the CII (Chartered Insurance Institute)

We’d expect you at the end of the two years to achieve the Diploma in Regulated Financial Planning (6 exams)

  • RO1 – Financial services regulation and ethics
  • RO2 – Investment principles and Risk
  • RO3 – Personal Taxation
  • RO4 – Pensions and retirement planning
  • RO5 – Financial Protection
  • RO6 – Financial Planning Practice

Once you’ve got these, you can then explore a whole host of different qualifications with the CII or other examining bodies – even going as far as becoming a fully qualified Chartered Financial Planner of which we will happily pick up the bill for, in addition to your salary, meaning the costs aren’t a barrier to unleashing your full potential.

The Perks of the job can be found here.

The Skills…

  • Excellent attention to detail
  • The ability to understand and interpret information
  • Great communication skills

The Money…

  • Starting salary of £16,000 (increasing to £17,000 upon successfully passing probation)
  • Circa £23,000 by the end of the second year
  • £30,000 + for senior roles
Fancy it?

Fancy it?

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Think of this section as the traditional 'cover letter’ - except we’re not the traditional sort. We want you to tell us what makes you special and ultimately, why you’re worthy of the job! Don’t be shy, it’s your chance to shine and in a dog-eat-dog world, what we really want to read is what sets you apart from the competition.

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