Job description
We are seeking a proactive and detail-oriented professional with a strong understanding of the advice process and ability to train this process to newly acquired Financial Planners and their key support staff. This is a role which requires collaboration across multiple teams in Perspective specifically our Mergers and Acquisitions (M&A) Compliance and Adviser Competence teams.
The role requires the ability to review due diligence documentation, personalise training content to the situation, and evidence effectiveness of the training through pre-completion file reviews.
This would be an ideal role for someone seeking variation in their day-to-day tasks, as well as someone looking for a first step into a supervision role whose background might be more advice related, technical experience.
The role also involves travelling to forthcoming acquisition firms for approximately 2–3 days each month, though this may fluctuate depending on the stage and volume of acquisition activity, with some periods requiring more or less travel.
Office: Perspective Financial Group Ltd
Location: Home Based (some travel is required)
Hours: Monday – Friday 9am to 5pm with a one hour break (35 hours)
Salary: Competitive dependant on experience and qualifications. Available upon request.
Job requirements
Essential:
- Analytical - Capability to review due diligence documentation, cross reference against Perspective standards, and identify gaps, risks, and areas for training focus.
- Training and communication skills – To provide feedback effectively to new Financial Planners and integrate them effectively into our way of working, always being mindful that Perspective processes will be unfamiliar to them.
- Documentation ownership - Ability to create, maintain, and personalise training material.
- Technical – To be able to support new acquisitions with their queries as well as evidencing their standards post-training through file reviews.
- Communication - High standard of both written and verbal communication skills, consistently demonstrating respect for the Financial Planner/Client relationship and positioning Perspective processes in a way that evidences our commitment to helping them achieve good client outcomes.
- Proven ability to work as part of a team and to provide constructive feedback in a positive manner.
- Strong stakeholder engagement and time management as many of the tasks required are within a set deadline based on agreed completion dates.
- Excellent organisational skills with attention to detail.
Qualifications:
- Diploma in Financial Planning (or equivalent).
- A range of qualifications in ‘specialist’ areas e.g. Occupational Pension Transfers, Long Term Care, Trusts etc (desirable).
Job responsibilities
- To design, maintain and personalise advice related training content to be used for new acquisitions as part of the integration and on-boarding process.
- To review due diligence for upcoming acquisitions and use the key findings to personalise training content so that any significant divergences or risks are appropriately managed.
- To conduct ‘site visits’ with the Adviser Competency Managers to the offices of new acquisitions pre-Perspective. and deliver training on-site and through a series of training modules.
- To review and provide feedback on the suitability of advice provided by upcoming acquisitions to a high standard in line with the Regulator’s expectations and Periodic Suitability Assessments in line with MIFID II requirements and Group requirements.
- To ensure that ‘suitable’ file outcomes are evidenced through the ‘validation process’ for new acquisitions and Financial Planners are signed off pre-sale checking in business areas pre-joining Perspective, where appropriate.
- To keep both new acquisitions and the M&A team informed on the progress of activities, and to escalate any issues of concern when necessary.
- To act as a ‘dedicated support’ for new Financial Planners and firms joining Perspective – this may involve visits to their offices, video-conference calls and 1:1 training with Financial Planners or Paraplanners, as required.
- To undertake client file reviews in line with Group procedures covering all aspects of business written within the Group
- Work collaboratively with Compliance, Risk, M&A, and Operations functions to ensure consistent standards.
Due to the nature of the business, the role may also include additional responsibilities considered reasonable.
Job benefits
25 days holiday (rising with length of service) plus Bank Holidays, Holiday Purchase Scheme and Birthday leave. E-Discounts, Electric Car Scheme, Life Assurance, Pension and Corporate Eyecare.