Paraplanner - Derby, East Midlands

Ref: 1430Thursday 19 October 2023

up to £30,000

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This is a part-time opportunity for someone with experience in either Compliance or Paraplaning in an IFA firm 

Are you a detail-oriented, deadline-driven individual with a passion for ensuring a high standard of compliance? Are you able to effectively manage and coordinate the work of a team to meet deadlines and deliver results? Then we want to hear from you!

A dynamic and fast-growing financial planning firm is seeking an experienced Compliance Manager to join their team. As the Compliance Manager, you will 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 are completed to an accurate and professional standard. You will be leading a team of financial planning supervisors/administration assistants.

The salary for this role is up to £30,000 for 25 hours a week 


Key Responsibilities:

Overseeing all compliance work to ensure it is up-to-date, including KPI reports, registers, file auditing/remedial actions, FCA reports, manuals, and documentation.

Keeping Compliance logs up-to-date and ensuring that FGIFS remains compliant at all times.

Conducting research as requested by the advisers, dealing with client queries, and putting suitability letters together where required.

Keeping up-to-date with legislative and technical changes within the industry

Coordinating Investment Committee meetings and putting portfolios together to match risk profiles using FE Analytics.

Calculating any carry-forward relief available for clients and completing any A Day tax-free cash calculation request forms.



Strong knowledge of FCA regulations and compliance requirements.

Excellent attention to detail and ability to meet deadlines.

Strong leadership and team management skills.

Effective communication and interpersonal skills.

Ability to work well under pressure.

Proficiency in using Microsoft Office, specifically Word and Excel.


If you are ready to take the next step in your career and work in a challenging and rewarding within a an independent IFA apply today!

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