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Paraplanning Manager

extra holidays - extra parental leave

Remote:

Full Remote

Work from:

United Kingdom

Offer summary

Qualifications:

Experience in Paraplanning and compliance, Strong managerial skills and training abilities, Understanding of regulatory frameworks, Excellent report writing capabilities.

Key responsabilities:

Recruit and manage a team of Paraplanners
Monitor quality of reports and processes

Close Brothers Financial Services Large http://bit.ly/1hluidO

1001 - 5000 Employees

See more Close Brothers offers

Job description

Overall Summary

Join Close Brothers Asset Management Paraplanning team where you will manage Paraplanners support across a number of Practices delivering high quality technical and report writing services to Advisers. In this role, you will also be responsible for a number of centralised Paraplanning or technical activities.

Responsibilities

Recruit, manage, train and develop high calibre Paraplanners within budget and headcount levels, to support a number of Advice practices.
Train and monitor new employees and to ensure their sign off as competent within agreed timescales.
Supporting, developing and mentoring candidates from the Paraplanning Subs Bench and trainee Paraplanners.
Working with the other Paraplanning Managers, ensuring sufficient resource and technical coverage is available for all types of report writing
First line checks on quality of reports, turnaround times and adherence to processes.
Supporting the Managing Director in any regional / Practice based activities.
Supporting the Technical Manager, Advice Services in centralised technical and Paraplanning activities such as maintaining the Paraplanning Procedures and Intranet.
Become a Paraplanning risk champion and responsible for the Paraplanning RCSA.
Delivery of all requirements under SMCR
Work with the Assistant Paraplanner team to ensure clear communication between Paraplanners and Assistant Paraplanners

WE WOULD LOVE TO HEAR FROM YOU IF YOU HAVE:

Understand, follow and demonstrate compliance with all relevant internal and external rules, regulations and procedures that apply to the conduct of the business. Follow principles and rules of the Financial Conduct Authority (FCA) and the internal requirements set out in the Compliance Manual, local and Group Compliance and Risk policies.
Adhere to the Conduct Rules for Certified Persons
Responsible for signing off on the Fitness and Propriety of in-scope direct reports
Ability to demonstrate an understanding of the regulatory framework relevant to the role, whilst practising effective risk management taking account of outcomes for clients.
Discuss suitability guidance and out with suitability sign off requests with the Practice Director and agree on the basis of any recommendations.
Monitor file reviews and ensure a prompt response where Paraplanner issues are identified or remedial action required.
Investigate and take appropriate action on any Paraplanner attributable incidents.
Be a first line of defence, alerting Compliance to any issues which may require investigation or where processes are not being followed.
Provide technical input and feedback as required.

As an employer, Close Brothers Asset Management is committed to equality and valuing diversity within its workforce. We provide equality of opportunity and will aim to ensure that no employees or candidates are subject to discrimination on grounds of any characteristics including but not withstanding gender, gender identity, marital status, sexual orientation, race, colour, nationality, religion, age, disability, working pattern, caring responsibilities, political beliefs.

We appreciate that from time to time, recruitment agencies will have speculative CVs that they may wish to submit to our Talent Acquisition team in relation to a specific role.

To avoid any ambiguity around fees, please note that speculative CVs received by Close Brothers, that have not been authorised in advance, by us, will be ineligible for an agency fee. Thank you.