Paraplanner and Compliance Manager

TN United Kingdom; Warrington; On-site; GBP 45,000 - 55,000; Full time

Job summary

An established financial planning firm is seeking a skilled Paraplanner and Compliance Manager to join their dynamic team. This role offers a unique opportunity to work hybrid, balancing office and home duties while supporting high-net-worth clients with tailored financial advice. The ideal candidate will possess a Level 4 Diploma and have substantial experience in paraplanning and compliance within financial services. You will engage with wealth managers, conduct thorough research, and ensure compliance with FCA regulations, contributing significantly to the firm’s growth and success. If you thrive in a proactive environment and are eager to make impactful decisions, this position is perfect for you.

Benefits

Annual bonus

Support for exams and professional development

Death In Service

Income Protection

Healthcare Cash Plan

Generous Pension Contributions

23 days holiday, increasing with service

Qualifications

• Minimum Level 4 Diploma Qualification required.
• Experience in paraplanning and compliance roles within financial services.

Responsibilities

• Collaborate with Wealth Managers to deliver financial plans.
• Conduct research on financial products and investment strategies.
• Monitor compliance and liaise with the FCA.

Skills

Paraplanning

Compliance Management

Technical Knowledge of Pensions

Investment Strategies

FCA Regulations

Education

Level 4 Diploma Qualification

Job description

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Paraplanner and Compliance Manager, Warrington

System Recruitment Limited

Location:

Warrington, United Kingdom

Job Category:

Other

EU work permit required:

Yes

Job Reference:

6656ebc4e47c

Job Views:

11

Posted:

26.04.2025

Expiry Date:

10.06.2025

Job Description:

A well-established Financial Planning firm, known for tailored, specialist Financial Advice, is looking to add a Paraplanner with Compliance Manager functions to their team.

Location: Warrington, W4A 4DN – Hybrid working (full-time): 3 days in the office, 2 days at home.

Salary: £45,000 – £55,000 + Benefits

The company provides advice on a diverse range of cases to private individuals and corporate clients, including Pensions, Investments, Tax Planning, and IHT. The role requires an individual with technical knowledge to handle varied responsibilities.

They seek an experienced paraplanner (preferably Level 4 qualified or above) with compliance experience to support the firm's growth. This role is ideal for someone with paraplanning and compliance experience in financial services.

The position involves:

• Collaborating with Wealth Managers and Advisors to prepare and deliver comprehensive financial plans for high-net-worth clients.
• Conducting research and analysis on financial products, investment strategies, and tax planning.
• Participating in the firm's centralised investment committee, reviewing investment propositions, and engaging with fund managers.
• Monitoring compliance, advising on regulatory changes, signing off client documentation, and liaising with the FCA.
• Managing risk, updating the Risk Framework, and reporting to the board on risk matters.

The candidate should be proactive, comfortable with implementing change, and capable of making business-focused decisions to support the firm's development.

Required Qualifications and Experience

• Level 4 Diploma Qualification (minimum)
• Experience in paraplanning and compliance roles within financial services, preferably in Wealth Management, Financial Planning, or IFA environments.
• Strong technical knowledge of pensions and investments.
• Understanding of FCA regulations and ability to adapt to regulatory changes.
• Attention to detail to ensure accuracy and compliance in client documentation.

Package

• Salary: £45,000 – £55,000
• Annual bonus
• Support for exams and professional development
• Death In Service
• Income Protection
• Healthcare Cash Plan
• Generous Pension Contributions
• 23 days holiday, increasing with service
• Hybrid working arrangement