Swiss Life
Regional Paraplanner Manager page is loaded Regional Paraplanner Managerlocations: United Kingdom - Bathtime type: Full timeposted on: Posted 6 Days Agojob requisition id: R11317Chase de Vere is a national, award-winning independent financial advice firm established in 1969. We offer tailored, whole-of-market solutions and provide expert financial advice to individuals and businesses. Our purpose is to help clients "be future confident," which also means empowering our employees with the tools, support, and opportunities to thrive in their careers. At Chase de Vere, we value excellence, integrity, and personal growth. Joining our team means being part of a supportive environment where your professional development is prioritised, and your contributions are recognised. If you're looking for a place where you can make a real impact and grow your career, consider Chase de Vere. Together, we help clients achieve financial security and peace of mind for the future.Focused, motivational and inspiring. Our Regional Paraplanning Managers are responsible for managing, motivating and developing our Paraplanners and Report Writers to prepare high quality written advice, and provide technical research services to the Private Client Advisers.You will work closely with the Operations Director, other Regional Paraplanner Managers and Senior Paraplanners, and in conjunction with key stakeholders across the business, to deliver an efficient and robust paraplanning service which meets the objectives of the Advisers, the needs of the business and adheres to Business Quality Standards at all times. WHAT YOU WILL NEED Qualifications Diploma in Regulated Financial Planning or Level 4 equivalent. Chartered status, preferableExperience An effective people manager with the ability to develop, motivate and empower others. Ideally will have proven experience of managing a large team of highly productive paraplanners Ideally will have previous experience of managing across a number of sites. In depth paraplanning experience within an IFA with a good knowledge of pension transfers; investments; SIPPS; post retirement and inheritance tax planning. Good IT skills and competent use of various research tools, ideally Financial Express The ability to balance the commercial needs of the business alongside regulatory requirements. First class communication skills and the ability to develop effective working relationships at all levels Provision of technical support to Report Writers/Paraplanners To possess an in-depth awareness and technical knowledge of Financial Services products and services. A proven ability to work under pressure and effectively prioritise. To demonstrate an excellent understanding of the compliance framework and regulatory requirements including: FCA principles; Data Protection; Anti-Bribery and Corruption legalisation WHAT YOUR ROLE WILL INVOLVE To train, manage, develop and motivate a team of Paraplanners and Report Writers to ensure the team is delivering an excellent service to the Advisers in order to assist them in achieving their fee income targets, meeting their client servicing commitments and complying with business quality standards. To effectively manage the workflow between the Advisers and the Paraplanners/Report Writers, to ensure that the resource is allocated directly in line with the business requirements. Conduct regular one to one meetings and annual appraisals and regularly review the training and development requirements of the Paraplanners and Report Writers through clear objectives and individual development plans. To provide a first class paraplanner service to Private Client Advisers, when required. To develop company standards and promote consistency within the paraplanner role across the regional offices. To contribute to the production of compliant business by overseeing and ensuring the efficient preparation of high-quality written advice and the delivery of technical research services to the advisers, in line with the Company's Business Quality Standards. To make a significant contribution to the continuing development of the paraplanner role across the business by evaluating and recommending improvements to the paraplanning process and operating procedures, and implementing changes, as necessary. To drive productivity and quality in line with KPIs and business objectives, whilst maintaining effective employee engagement, cultivating a professional, motivated and high performing team. To identify areas for improvement in the client service experience and to help increase adviser productivity through effective and efficient paraplanner support, ultimately allowing Advisers to spend more time with their clients. To comply with the relevant compliance, regulatory, TCF and Financial Crime Procedures at all times.By joining Chase de Vere, you'll have a progressive career with great benefits and a nurturing culture that makes you part of something special. Alongside a competitive salary with the opportunity to earn an annual bonus, we also provide the below benefits: 25 days annual leave (increases to 30 days with service) plus Bank Holidays Contributory pension scheme Life assurance - 4 x annual salary Comprehensive induction and training programme Funded exams and paid study leave A wide range of voluntary flexible benefits to suit your individual needs The option to buy additional holiday days Cycle to work Scheme Paid volunteering days each year Employee Assistance Programme with access to a 24/7 helpline Access to our free mortgage service, through our internal mortgage team Our Employee Forum and Diversity & Inclusion group Local and companywide events in support of our company charitiesWithin the International divison of Swiss Life, we are looking for self-determined individuals ready to unleash their talent and shape their career. We have offices in ten countries under four brands. Check out below to discover more about them!With its two business lines, offers a broad range of tailored cross-border life insurance solutions to wealthy individuals (Global Private Wealth Solutions) and to international companies (Global Employee Benefits Solutions) . Swiss Life Global Solutions operates in Luxembourg, Liechtenstein, Zurich and Singapore.With offices across the UK and more than 200 professional advisers, is one of the country's leading independant financial advisers. It covers a wide range of services, including pensions, estate planning, care funding and wealth management, as well as business protection, employee benefits and workplace financial education.Follow us on
Regional Paraplanner Manager page is loaded Regional Paraplanner Managerlocations: United Kingdom - Bathtime type: Full timeposted on: Posted 6 Days Agojob requisition id: R11317Chase de Vere is a national, award-winning independent financial advice firm established in 1969. We offer tailored, whole-of-market solutions and provide expert financial advice to individuals and businesses. Our purpose is to help clients "be future confident," which also means empowering our employees with the tools, support, and opportunities to thrive in their careers. At Chase de Vere, we value excellence, integrity, and personal growth. Joining our team means being part of a supportive environment where your professional development is prioritised, and your contributions are recognised. If you're looking for a place where you can make a real impact and grow your career, consider Chase de Vere. Together, we help clients achieve financial security and peace of mind for the future.Focused, motivational and inspiring. Our Regional Paraplanning Managers are responsible for managing, motivating and developing our Paraplanners and Report Writers to prepare high quality written advice, and provide technical research services to the Private Client Advisers.You will work closely with the Operations Director, other Regional Paraplanner Managers and Senior Paraplanners, and in conjunction with key stakeholders across the business, to deliver an efficient and robust paraplanning service which meets the objectives of the Advisers, the needs of the business and adheres to Business Quality Standards at all times. WHAT YOU WILL NEED Qualifications Diploma in Regulated Financial Planning or Level 4 equivalent. Chartered status, preferableExperience An effective people manager with the ability to develop, motivate and empower others. Ideally will have proven experience of managing a large team of highly productive paraplanners Ideally will have previous experience of managing across a number of sites. In depth paraplanning experience within an IFA with a good knowledge of pension transfers; investments; SIPPS; post retirement and inheritance tax planning. Good IT skills and competent use of various research tools, ideally Financial Express The ability to balance the commercial needs of the business alongside regulatory requirements. First class communication skills and the ability to develop effective working relationships at all levels Provision of technical support to Report Writers/Paraplanners To possess an in-depth awareness and technical knowledge of Financial Services products and services. A proven ability to work under pressure and effectively prioritise. To demonstrate an excellent understanding of the compliance framework and regulatory requirements including: FCA principles; Data Protection; Anti-Bribery and Corruption legalisation WHAT YOUR ROLE WILL INVOLVE To train, manage, develop and motivate a team of Paraplanners and Report Writers to ensure the team is delivering an excellent service to the Advisers in order to assist them in achieving their fee income targets, meeting their client servicing commitments and complying with business quality standards. To effectively manage the workflow between the Advisers and the Paraplanners/Report Writers, to ensure that the resource is allocated directly in line with the business requirements. Conduct regular one to one meetings and annual appraisals and regularly review the training and development requirements of the Paraplanners and Report Writers through clear objectives and individual development plans. To provide a first class paraplanner service to Private Client Advisers, when required. To develop company standards and promote consistency within the paraplanner role across the regional offices. To contribute to the production of compliant business by overseeing and ensuring the efficient preparation of high-quality written advice and the delivery of technical research services to the advisers, in line with the Company's Business Quality Standards. To make a significant contribution to the continuing development of the paraplanner role across the business by evaluating and recommending improvements to the paraplanning process and operating procedures, and implementing changes, as necessary. To drive productivity and quality in line with KPIs and business objectives, whilst maintaining effective employee engagement, cultivating a professional, motivated and high performing team. To identify areas for improvement in the client service experience and to help increase adviser productivity through effective and efficient paraplanner support, ultimately allowing Advisers to spend more time with their clients. To comply with the relevant compliance, regulatory, TCF and Financial Crime Procedures at all times.By joining Chase de Vere, you'll have a progressive career with great benefits and a nurturing culture that makes you part of something special. Alongside a competitive salary with the opportunity to earn an annual bonus, we also provide the below benefits: 25 days annual leave (increases to 30 days with service) plus Bank Holidays Contributory pension scheme Life assurance - 4 x annual salary Comprehensive induction and training programme Funded exams and paid study leave A wide range of voluntary flexible benefits to suit your individual needs The option to buy additional holiday days Cycle to work Scheme Paid volunteering days each year Employee Assistance Programme with access to a 24/7 helpline Access to our free mortgage service, through our internal mortgage team Our Employee Forum and Diversity & Inclusion group Local and companywide events in support of our company charitiesWithin the International divison of Swiss Life, we are looking for self-determined individuals ready to unleash their talent and shape their career. We have offices in ten countries under four brands. Check out below to discover more about them!With its two business lines, offers a broad range of tailored cross-border life insurance solutions to wealthy individuals (Global Private Wealth Solutions) and to international companies (Global Employee Benefits Solutions) . Swiss Life Global Solutions operates in Luxembourg, Liechtenstein, Zurich and Singapore.With offices across the UK and more than 200 professional advisers, is one of the country's leading independant financial advisers. It covers a wide range of services, including pensions, estate planning, care funding and wealth management, as well as business protection, employee benefits and workplace financial education.Follow us on
Swiss Life
Manchester, Lancashire
Compliance Monitoring Officer page is loaded Compliance Monitoring Officerlocations: United Kingdom - Manchestertime type: Full timeposted on: Posted Yesterdayjob requisition id: R11382Chase de Vere is a national, award-winning independent financial advice firm established in 1969. We offer tailored, whole-of-market solutions and provide expert financial advice to individuals and businesses. Our purpose is to help clients "be future confident," which also means empowering our employees with the tools, support, and opportunities to thrive in their careers. At Chase de Vere, we value excellence, integrity, and personal growth. Joining our team means being part of a supportive environment where your professional development is prioritised, and your contributions are recognised. If you're looking for a place where you can make a real impact and grow your career, consider Chase de Vere. Together, we help clients achieve financial security and peace of mind for the future.The Compliance Monitoring Officer is responsible for undertaking reviews in line with the risk-based Compliance Monitoring Programme, to ensure due compliance with the regulatory requirements. The role requires the holder to undertake these reviews from end-to-end; undertake research on the underlying regulations to ascertain the scope of the review, undertake thorough testing and data analysis to investigate whether Chase de Vere has sufficient systems and controls in place to mitigate the regulatory risk and compose considered and measured actions to rectify any issues identified. Compliance Monitoring Programme Assist the Risk and Assurance Manager in the formation of the risk-based compliance monitoring programme. Assist the Head of Risk and Compliance and Risk and Assurance Manager with ad hoc review and assessments, to meet the needs of the business. Undertake risk-based monitoring reviews in accordance with the annual monitoring plan, including: - Devising the scope of a monitoring review through thorough analysis of the underlying regulations and guidance relevant to the risk being assessed. - Planning, and latterly undertaking, testing and data analysis to investigate the systems and controls implemented to mitigate the risk being assessed. - Delivering clear, accurate and relevant reports to stakeholders which communicate the findings of the review and the actions to be taken. - Work with stakeholders to follow through with actions until evidence is provided of their due completion. Appointed Representative Undertake monitoring on the Appointed Representative, both on a regular basis and in thematic review work. Collate information provided by the Appointed Representative and report areas of improvement to the Risk and Assurance Manager Maintain an action tracker for issues identified and work with the AR through to completion of actions and resolution of underlying issues. What you will need Ideally Investment Compliance Diploma (minimum Investment Operations Certificate) or requisite knowledge and experience in the Financial Services Industry. Good understanding of retail investment products, FCA regulated financial services firms and Discretionary Fund Management. A comprehensive working knowledge of the Financial Services and Markets Act, FCA Handbook, Principles for Business. Ability to extract and identify issues of potential risk. A minimum of 5 years' experience in a compliance role with a first-class knowledge of monitoring, risk management and current regulatory issues as they impact on an FCA authorised firm. Experience of risk-based monitoring systems and audit procedures. Experience of delivering operational change and improving regulatory and business standards.By joining Chase de Vere, you'll have a progressive career with great benefits and a nurturing culture that makes you part of something special. Alongside a competitive salary with the opportunity to earn an annual bonus, we also provide the below benefits: 25 days annual leave (increases to 30 days with service) plus Bank Holidays Contributory pension scheme Life assurance - 4 x annual salary Comprehensive induction and training programme Funded exams and paid study leave A wide range of voluntary flexible benefits to suit your individual needs The option to buy additional holiday days Cycle to work Scheme Paid volunteering days each year Employee Assistance Programme with access to a 24/7 helpline Access to our free mortgage service, through our internal mortgage team Our Employee Forum and Diversity & Inclusion group Local and companywide events in support of our company charitiesWithin the International divison of Swiss Life, we are looking for self-determined individuals ready to unleash their talent and shape their career. We have offices in ten countries under four brands. Check out below to discover more about them!With its two business lines, offers a broad range of tailored cross-border life insurance solutions to wealthy individuals (Global Private Wealth Solutions) and to international companies (Global Employee Benefits Solutions) . Swiss Life Global Solutions operates in Luxembourg, Liechtenstein, Zurich and Singapore.With offices across the UK and more than 200 professional advisers, is one of the country's leading independant financial advisers. It covers a wide range of services, including pensions, estate planning, care funding and wealth management, as well as business protection, employee benefits and workplace financial education.Follow us on
Compliance Monitoring Officer page is loaded Compliance Monitoring Officerlocations: United Kingdom - Manchestertime type: Full timeposted on: Posted Yesterdayjob requisition id: R11382Chase de Vere is a national, award-winning independent financial advice firm established in 1969. We offer tailored, whole-of-market solutions and provide expert financial advice to individuals and businesses. Our purpose is to help clients "be future confident," which also means empowering our employees with the tools, support, and opportunities to thrive in their careers. At Chase de Vere, we value excellence, integrity, and personal growth. Joining our team means being part of a supportive environment where your professional development is prioritised, and your contributions are recognised. If you're looking for a place where you can make a real impact and grow your career, consider Chase de Vere. Together, we help clients achieve financial security and peace of mind for the future.The Compliance Monitoring Officer is responsible for undertaking reviews in line with the risk-based Compliance Monitoring Programme, to ensure due compliance with the regulatory requirements. The role requires the holder to undertake these reviews from end-to-end; undertake research on the underlying regulations to ascertain the scope of the review, undertake thorough testing and data analysis to investigate whether Chase de Vere has sufficient systems and controls in place to mitigate the regulatory risk and compose considered and measured actions to rectify any issues identified. Compliance Monitoring Programme Assist the Risk and Assurance Manager in the formation of the risk-based compliance monitoring programme. Assist the Head of Risk and Compliance and Risk and Assurance Manager with ad hoc review and assessments, to meet the needs of the business. Undertake risk-based monitoring reviews in accordance with the annual monitoring plan, including: - Devising the scope of a monitoring review through thorough analysis of the underlying regulations and guidance relevant to the risk being assessed. - Planning, and latterly undertaking, testing and data analysis to investigate the systems and controls implemented to mitigate the risk being assessed. - Delivering clear, accurate and relevant reports to stakeholders which communicate the findings of the review and the actions to be taken. - Work with stakeholders to follow through with actions until evidence is provided of their due completion. Appointed Representative Undertake monitoring on the Appointed Representative, both on a regular basis and in thematic review work. Collate information provided by the Appointed Representative and report areas of improvement to the Risk and Assurance Manager Maintain an action tracker for issues identified and work with the AR through to completion of actions and resolution of underlying issues. What you will need Ideally Investment Compliance Diploma (minimum Investment Operations Certificate) or requisite knowledge and experience in the Financial Services Industry. Good understanding of retail investment products, FCA regulated financial services firms and Discretionary Fund Management. A comprehensive working knowledge of the Financial Services and Markets Act, FCA Handbook, Principles for Business. Ability to extract and identify issues of potential risk. A minimum of 5 years' experience in a compliance role with a first-class knowledge of monitoring, risk management and current regulatory issues as they impact on an FCA authorised firm. Experience of risk-based monitoring systems and audit procedures. Experience of delivering operational change and improving regulatory and business standards.By joining Chase de Vere, you'll have a progressive career with great benefits and a nurturing culture that makes you part of something special. Alongside a competitive salary with the opportunity to earn an annual bonus, we also provide the below benefits: 25 days annual leave (increases to 30 days with service) plus Bank Holidays Contributory pension scheme Life assurance - 4 x annual salary Comprehensive induction and training programme Funded exams and paid study leave A wide range of voluntary flexible benefits to suit your individual needs The option to buy additional holiday days Cycle to work Scheme Paid volunteering days each year Employee Assistance Programme with access to a 24/7 helpline Access to our free mortgage service, through our internal mortgage team Our Employee Forum and Diversity & Inclusion group Local and companywide events in support of our company charitiesWithin the International divison of Swiss Life, we are looking for self-determined individuals ready to unleash their talent and shape their career. We have offices in ten countries under four brands. Check out below to discover more about them!With its two business lines, offers a broad range of tailored cross-border life insurance solutions to wealthy individuals (Global Private Wealth Solutions) and to international companies (Global Employee Benefits Solutions) . Swiss Life Global Solutions operates in Luxembourg, Liechtenstein, Zurich and Singapore.With offices across the UK and more than 200 professional advisers, is one of the country's leading independant financial advisers. It covers a wide range of services, including pensions, estate planning, care funding and wealth management, as well as business protection, employee benefits and workplace financial education.Follow us on