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        • cardiff, wales
        • permanent
        • dependent on experience
        • full-time
        My Client in Cardiff City Centre is looking for a paraplanner to join their team. You will be working with a small team of advisers and 2 other paraplanners. The business focuses on wealth management with a predominant focus on pensions, investments and tax planning. The role does have flexibility to work from home and given the Covid19 situation, current office time is 2 days per week. Duties of the Paraplanner role: Supporting the advisers in managing the ongoing work and relationships with new and existing clients on a day to day basis Valuations, client reviews, client reviews letters, advice reports (including DC pension transfer)Adviser support including diary & email management Supporting the other members of the team should it be required on daily tasks Client communication and liaison Managing and updating fact-finds as part of the front end paraplanningSubmitting and chasing letters of authorities (if required) - checking missing informationCreating quotes and illustrations and regular use of provider online portalsClient Portfolio AnalysisManaging and submitting applications Knowledge of the below systems and providers is preferred but not essential. Those in bold is a big help. - Xplan, Select A Pension, FE Analytics, previous work or knowledge of Quilter Financial Planning process, Outlook, Word, Old Mutual Wealth Online, Standard Life, Aviva, Royal London, AXA, Fidelity, Aegon & LV Benefits of the role:Salary negotiable depending on experience (37 hours per week) - this is flexible for the right candidate25 paid holidays per year plus bank holidays 5% employer pension contribution Yearly discretionary bonusFlexibility of working hours Central Cardiff on site free parking If you would like to be considered for this role, please submit an up to date copy of your CV for considerationRandstad Business Support acts as an employment business when supplying temporary staff and as an employment agency when introducing candidates for permanent employment with a client. Randstad Business Support is an equal opportunities employer and decisions are made on merits alone.
        My Client in Cardiff City Centre is looking for a paraplanner to join their team. You will be working with a small team of advisers and 2 other paraplanners. The business focuses on wealth management with a predominant focus on pensions, investments and tax planning. The role does have flexibility to work from home and given the Covid19 situation, current office time is 2 days per week. Duties of the Paraplanner role: Supporting the advisers in managing the ongoing work and relationships with new and existing clients on a day to day basis Valuations, client reviews, client reviews letters, advice reports (including DC pension transfer)Adviser support including diary & email management Supporting the other members of the team should it be required on daily tasks Client communication and liaison Managing and updating fact-finds as part of the front end paraplanningSubmitting and chasing letters of authorities (if required) - checking missing informationCreating quotes and illustrations and regular use of provider online portalsClient Portfolio AnalysisManaging and submitting applications Knowledge of the below systems and providers is preferred but not essential. Those in bold is a big help. - Xplan, Select A Pension, FE Analytics, previous work or knowledge of Quilter Financial Planning process, Outlook, Word, Old Mutual Wealth Online, Standard Life, Aviva, Royal London, AXA, Fidelity, Aegon & LV Benefits of the role:Salary negotiable depending on experience (37 hours per week) - this is flexible for the right candidate25 paid holidays per year plus bank holidays 5% employer pension contribution Yearly discretionary bonusFlexibility of working hours Central Cardiff on site free parking If you would like to be considered for this role, please submit an up to date copy of your CV for considerationRandstad Business Support acts as an employment business when supplying temporary staff and as an employment agency when introducing candidates for permanent employment with a client. Randstad Business Support is an equal opportunities employer and decisions are made on merits alone.
        • london, london
        • contract
        • competitive
        • full-time
        FICC Compliance Manager, Fixed Income Compliance AdvisoryDepartment: Capital Markets, Compliance LondonPurpose:To protect the brand and enable achievement of business goals through an integrated compliance culture and program across the enterprise by:* Aligning regulatory priorities with the Business;* Creating and maintaining an effective relationship with regulators to enable reputation and regulatory issues to be appropriately managed;* Establishing and maintaining a strong, effective control environment; and* Identifying and communicating compliance risks inherent in the business to senior management and the business.PRIMARY RESPONSIBILITIES:Compliance Manager within Capital Markets Compliance London with responsibility for advising on regulatory matters affecting the following London businesses: FICC (Fixed income / currencies and commodities).Responsibilities Include:* maintaining a detailed knowledge of applicable banking regulations, best practices and relevant internal policies and procedures;* designing and maintaining policies and procedures to address identified regulatory risks;* devising and delivering Compliance training to businesses which comprise primary areas of responsibility;* collaborating with colleagues in the Trade Surveillance and Desk Monitoring team to identify ways to enhance our programs and incorporate any relevant issues arising from the interaction with the businesses;* advise on the application of current and future legislation for the conduct of business for the European operations;* review, advise and draft appropriate text from a compliance perspective for New Business Committee proposals emanating from businesses which comprise primary areas of responsibility;* assisting with desk monitoring activities to determine adherence with FCA conduct of business rules;* advise and assist Compliance colleagues in Canada, U.S.A, Australia and Asia on the UK regulatory position of matters relating to the transitioning of businesses which comprise primary areas of responsibility;* issue guidance as and when required to the front office regarding current or new regulatory requirements issued by the FCA and other relevant bodies;* to liaise where necessary with the relevant regulatory bodies;* conducting and reporting on compliance investigations of businesses captured by primary areas of responsibility as required;* to be an integral part of the compliance team, assisting other team members and undertaking ad-hoc assignments as required;* assisting with preparing the papers for the Reputation and Compliance Committee and other management fora; and* promoting observance of high standards of business conduct and ethical standards. AUTHORITIES, IMPACT, RISK:* Complete freedom of access to records relating to the business of Group companies including investment business activity and members of staff involved in all such activities..* Being appropriately advised of business developments. *RESULTS EXPECTED & EVALUATED* Timely and technically accurate research and advice;* Clear and concise written and verbal communication;* Completed drafts of compliance communication, policy and procedures; and* Creation and delivery of appropriate training modules for front office staff (where the need for such training has been identified).KEY RELATIONSHIPS* Co-Head of Compliance, Europe* Senior Officers and business Heads in the UK* Compliance Officers throughout the organisationJOB SPECIFICATIONS:* Excellent written and verbal communication skills;* Knowledge of primary and secondary UK financial services legislation;* Knowledge of FCA Handbook, specifically Conduct of Business Rulebooks;* Good knowledge of products traded in Global Markets;* Ability to draft clear and technically accurate regulatory guidance, policies and procedures;* Ability to assist in devising appropriate compliance desk monitoring programmes;* Ability to articulate regulatory issues to key relationship contacts;* Ability to assist with ad hoc internal regulatory investigations; and* Ability to maintain the confidentiality of sensitive information.Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003
        FICC Compliance Manager, Fixed Income Compliance AdvisoryDepartment: Capital Markets, Compliance LondonPurpose:To protect the brand and enable achievement of business goals through an integrated compliance culture and program across the enterprise by:* Aligning regulatory priorities with the Business;* Creating and maintaining an effective relationship with regulators to enable reputation and regulatory issues to be appropriately managed;* Establishing and maintaining a strong, effective control environment; and* Identifying and communicating compliance risks inherent in the business to senior management and the business.PRIMARY RESPONSIBILITIES:Compliance Manager within Capital Markets Compliance London with responsibility for advising on regulatory matters affecting the following London businesses: FICC (Fixed income / currencies and commodities).Responsibilities Include:* maintaining a detailed knowledge of applicable banking regulations, best practices and relevant internal policies and procedures;* designing and maintaining policies and procedures to address identified regulatory risks;* devising and delivering Compliance training to businesses which comprise primary areas of responsibility;* collaborating with colleagues in the Trade Surveillance and Desk Monitoring team to identify ways to enhance our programs and incorporate any relevant issues arising from the interaction with the businesses;* advise on the application of current and future legislation for the conduct of business for the European operations;* review, advise and draft appropriate text from a compliance perspective for New Business Committee proposals emanating from businesses which comprise primary areas of responsibility;* assisting with desk monitoring activities to determine adherence with FCA conduct of business rules;* advise and assist Compliance colleagues in Canada, U.S.A, Australia and Asia on the UK regulatory position of matters relating to the transitioning of businesses which comprise primary areas of responsibility;* issue guidance as and when required to the front office regarding current or new regulatory requirements issued by the FCA and other relevant bodies;* to liaise where necessary with the relevant regulatory bodies;* conducting and reporting on compliance investigations of businesses captured by primary areas of responsibility as required;* to be an integral part of the compliance team, assisting other team members and undertaking ad-hoc assignments as required;* assisting with preparing the papers for the Reputation and Compliance Committee and other management fora; and* promoting observance of high standards of business conduct and ethical standards. AUTHORITIES, IMPACT, RISK:* Complete freedom of access to records relating to the business of Group companies including investment business activity and members of staff involved in all such activities..* Being appropriately advised of business developments. *RESULTS EXPECTED & EVALUATED* Timely and technically accurate research and advice;* Clear and concise written and verbal communication;* Completed drafts of compliance communication, policy and procedures; and* Creation and delivery of appropriate training modules for front office staff (where the need for such training has been identified).KEY RELATIONSHIPS* Co-Head of Compliance, Europe* Senior Officers and business Heads in the UK* Compliance Officers throughout the organisationJOB SPECIFICATIONS:* Excellent written and verbal communication skills;* Knowledge of primary and secondary UK financial services legislation;* Knowledge of FCA Handbook, specifically Conduct of Business Rulebooks;* Good knowledge of products traded in Global Markets;* Ability to draft clear and technically accurate regulatory guidance, policies and procedures;* Ability to assist in devising appropriate compliance desk monitoring programmes;* Ability to articulate regulatory issues to key relationship contacts;* Ability to assist with ad hoc internal regulatory investigations; and* Ability to maintain the confidentiality of sensitive information.Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003

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