Intamediary is one of the leading Networks in EU financial services, with many authorised representative firms. As such, there are a wide range of vacancies available within our member firms, from mortgage broker and protection adviser roles through to full financial planners and IFA wealth managers, plus a range of back office and paraplanner vacancies. Fortunately many of our support staff can work remotely easily with our cloud based platform.
Adviser Platform representatives provide advice to Companies Charities expatriate professionals and retirees in many areas of the world, and we are very keen to expand our operations. Currently our consultants and partners are enjoying outstanding results, and we see our company’s growth coming from the recruitment, training and placement of high-quality new advisors.
Successful candidates will receive training, management and compliance support, attractive over ride package, opportunity to live in new vibrant locations, no maximum earning cap. The package includes discounted global health cover, attractive commission rates, on target bonuses, no cap on income and flexible work arrangements
We also have vacancies for support staff:-
Role: Support Consultant
Salary: Competitive Salary and benefits package
Location: Home Based / Cloud based
Role Description:
- To provide high quality regulatory support and assist partner firms.
- Promote Adviser Platform and the Intamediary network as the premier provider of regulatory support services.
- To consult with partner firms and resolve any regulatory or other business related issues.
Responsibilities:
Make regular regulatory visits to partner firms and ensure proceedures are being followed.
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Pre Visit Duties - Carry out background research of firm through:
- FCA web site search
- Due diligence and referencing
- Assessing existing practices against current regulatory legislation and “best practice”
- Identifying any regulatory weakness or shortfalls
- Identifying where the firm can improve their regulatory behaviour
- Undertaking T&C supervision duties
- Building a strong business relationship with the firm to understand commercial synergies.
- Create report documenting conclusion of visits including clear action points for all parties
- Ensure that all correspondence is subject to the appropriate level of internal review prior to issue
- Discuss report and findings with partner firm to identify any errors or omissions
- Agree with firm who will deal with any remedial action required and when it will be completed.
- Attend team meetings held by Adviser Platform either in person or by video conference.
- Aim to become a specialist in specific areas of regulatory responsibility
- Maintain up-to-date CPD records required to do the job
- Complete all other duties reasonably expected
- Complete all documentation (expenses, reports etc) as prescribed
Skills Required:
- Attention to detail
- Ability to interpret data and to analyse where existing procedures and practices fall short with current regulatory standards;
- Excellent standard of written & verbal communication;
- To empathise and build strong business relationships with partner firms;
- To manage own time, workload and ensure that all contractual obligations are met with partner firms;
- To continue in self learning and the recording of CPD using the Assess system.
Qualifications and Experience
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Essential
- Financial Planning Certificate (or equivalent)
- CeMAP (or equivalent)
- Sound knowledge of EU regulatory framework
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Preferred/Aspiration
- H15 or equivalent
- Advanced Diploma in Financial Services or equivalent
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Experience
- Three years financial services industry experience, of which 1 year should involve regulatory experience
Personal Qualities
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Essential Characteristics
- Professional and positive attitude
- Strong interpersonal skills
- Strong organisation skills and efficiency
- Pro active and commercially-minded