The Compliance Support

The Role

The compliance support role is a new opportunity that was introduced in 2018! As such, the role itself would suit someone who is forward thinking and is willing to bring their own ideas to what is essentially a new role within a new company. Overall, the candidate will undertake on the job training alongside studying for their Level 4 Diploma in Financial Planning over a two year period, on their very own personally developed learning program.

On successful completion of your probation you will start become an expert in regulation and the rules and guidance that advisers need to follow to ensure their business and its practices are meeting industry guidelines. You will get involved with carrying out client file reviews, providing constructive feedback and ensure that these responses are accurately recorded and tracked accordingly on the Apricity system.

As your role develops over the two years, we may require you to attend events and represent the company and get involved with the promotion and development of the brand. By now, you will have a good understanding of your role, and ideally be getting involved with assisting clients with technical queries, and help provide content for the system and provide our clients with a comprehensive compliance service. We will expect you to keep up to date with changes to regulation and help implement ways to keep our clients up to date with changes and provide them with relevant training resources.

The Qualifications

Your initial qualifications will be under the CII (Chartered Insurance Institute) www.cii.co.uk.

We’d expect you at the end of the two years to achieve the Diploma in Regulated Financial Planning (6 exams)

• RO1 – Financial services regulation and ethics
• RO2 – Investment principles and Risk
• RO3 – Personal Taxation
• RO4 – Pensions and retirement planning
• RO5 – Financial Protection
• RO6 – Financial Planning Practice

Once you’ve got these, you can then explore a whole host of different qualifications with the CII or other examining bodies – even going as far as becoming a fully qualified Chartered Financial Planner of which we will happily pick up the bill for, in addition to your salary, meaning the costs aren’t a barrier to unleashing your full potential.

The Perks of the job can be found here.