Compliance and Office Manager - Derby

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We are currently looking for a Compliance and Office Manager to join our clients, an established IFA based in the Derby area. The role is to be responsible for overseeing the efficient running of the office, ensuring that all compliance work is undertaken to meet specified deadlines and that paraplanning work and administrative tasks of the department are undertaken to meet deadlines and to an accurate and professional standard.

This role is on a Part-Time basis, initially on a 12-month maternity cover basis with the possibility of a permanent position thereafter.

Working hours:

As a Compliance and Office Manager you’ll be required to work on a part-time basis, consisting of 25 hours a week.

The successful Compliance and Office Manager will be offered:

  • £28,000 - £30,000
  • Hybrid working after initial 6 month period
  • Pension

To be considered for the Compliance and Office Manager role you must have:

  • Previous experience within a Technical Administrator role is essential.
  • Strong knowledge of paraplanning and compliance.
  • Level 4 qualification would be preferable.

As a Compliance and Office Manager your role will involve:

  • Feedback on the KPI stats in the Quarterly Board Meetings.
  • Ensure that the compliance registers are completed and updated.
  • Ensure that any required action is completed.
  • FCA Reports
  • Undertake research as requested by the advisers. To assist with rebalancing exercises and other research, print off applications, key features/ quotes for these cases (all research to be saved to clients e-file).
  • Conduct research and ensure that all information needed is received for businesses classed as high-risk.

​​​​Due to the high amounts of applications if you have not been contacted within 7 days, please consider your application as unsuccessful.

This job has been posted by GCB Agency Recruitment Ltd who is acting as the Employment Agency in relation to this vacancy, working on behalf of their client who is confidential at this stage.

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