Compliance Technical Executive

Foster Denovo; Weybridge; On-site; GBP 30,000 - 60,000; Full time

Job summary

An established industry player seeks a dedicated individual to join their Compliance Team in Weybridge. This role is pivotal in ensuring that financial advice meets regulatory standards while providing exceptional service to clients. With a focus on pre-approving higher risk products, you'll work closely with advisers and paraplanners, enhancing the quality of advice given. The company prides itself on a supportive culture and offers a comprehensive benefits package, including generous holiday, pension matching, and various employee perks. If you have a keen eye for detail and a commitment to excellence, this opportunity is perfect for you.

Benefits

25 days holiday (increasing to 30)

Discretionary bonus

Pension matching up to 7.5%

Life assurance up to 4 x salary

Income protection of 75% salary

Interest-free season ticket loans

Eye care vouchers

Childcare vouchers

Shopping discounts portal

Qualifications

• Strong communication skills and a positive attitude are essential.
• Must maintain confidentiality and deliver high-quality support.

Responsibilities

• Review investment and pension cases for pre-sale approval.
• Maintain accurate records of pre-sale approvals and past reviews.
• Provide exceptional client service and meet regulatory requirements.

Skills

Positive service-oriented attitude

Articulate communication

Honesty and integrity

Attention to detail

Excellent organisation skills

Job description

Location Weybridge Application Deadline Saturday, March 8, 2025 Job Summary

About us :

Foster Denovo currently boasts over 120 Financial Advisers supported by around 300 employees across eight Foster Denovo offices throughout the UK. We have the scale and resource to provide exceptional advice and service to our clients, advisers, and employees.

Our stakeholder community is an invisible bond that gives Foster Denovo its solid foundations. It also means that our people care about our reputation and brand. And as such, we aim to delight every client we come into contact with.

When you join the Foster Denovo family, you benefit from our enviable reputation and years of industry experience. In everything we do, we’re driven by a firm set of core values, and our friendly, stakeholder culture has been praised by employees, clients, and partners alike.

Foster Denovo is also proud to hold the gold investors in people accreditation which shows a clear commitment to the people who make us an employer of choice.

Purpose of the job:

• To help deliver the level of protection required by pre-checking higher risk products recommended by Foster Denovo Advisers.
• This role exists to ensure that Foster Denovo meets the FCA requirements for advice in higher risk areas.
• The role holder will be responsible for accurately assessing, Pre-Approving, and ensuring compliance for all cases within the agreed Service Level Agreements (SLAs).
• To ensure Foster Denovo maintains the high standard of advice we provide to our clients.

Job summary:

• The role will form part of the Compliance Team but will work closely with other members on the Pre Approval Team.
• To liaise proactively with partners and paraplanners on all matters concerning pre or post-sale file reviews.
• To support and coach Partners and staff to help improve the quality of the advice provided to clients.
• To produce and provide regular progress updates and MI to the Compliance Review Manager.

Main Responsibilities:

• Undertake the review of investment and pension cases requiring pre-sale approval with a view to clear and prompt feedback to Partners and paraplanners.
• Undertake reviews of past business cases as part of a formal past business review, if requested.
• Maintain accurate and consistent records, enhancing them as requested, of pre-sale approval cases and past business reviews.
• To participate in appropriate company and departmental training, competence, and development initiatives.
• To continuously meet the regulator’s Fit & Proper requirements.
• In line with Foster Denovo’s service excellence programme, they will be expected to provide exceptional client service at all times. They will be required to keep up to date with all relevant organisational training and best practice to enable this standard to be met.

Key skills and personal attributes:

• A positive, friendly service-oriented person with a “can do” attitude who is aware of the important role played by advisers and their staff in providing financial advice.
• An articulate communicator.
• Honesty, integrity and ability to maintain confidentiality.
• Hardworking and responsive to the need to deliver a high-quality support service.
• Attention to detail and high standards of work.
• Excellent organisation and prioritisation skills.

What we offer you:

Foster Denovo has an open, mutually supportive, knowledge-sharing culture. It’s a culture that has created the space to think differently for the benefit of our clients.

Our benefits package includes:

• 25 days holiday (increasing by an additional day per annum up to 30 days)
• Discretionary bonus
• Foster Denovo will match your personal pension contribution up to a maximum of 7.5%
• Life assurance of up to 4 x your salary;
• Income protection of 75% of your basic salary in the event of long-term sickness
• Employees can use our financial advisers within the company for any financial advice or knowledge
• Interest-free season ticket loans, eye care, and childcare vouchers.
• Shopping discounts benefits portal (discounts on holiday, gym, and high street retailers)