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Current Vacancies

Post: Compliance Manager 
Grade: N/A – Ongoing training

Salary: £30,000 full-time
(potential for pro-rata, minimum 30 hours required)

Hours: Office Hours 37.5 hours p/w
30 minutes lunch break
20 Days (140 hours) holiday entitlement excluding Bank Holidays
Open Hours: Monday – Friday 9.00am – 5.00pm
Responsible to: Director – Mark Jones

Continuing our unrivalled reputation for excellent customer service is key to the ongoing success of Jones & Co here in Chesterfield. As such, maintaining our legal and ethical integrity is imperative. We’re seeking a Compliance Manager to oversee this requirement, ensure our company policy is followed, to the letter, and confirm our messaging and behaviour reflect the rules and regulations of the firm.

Job Summary:

The position of in-house Compliance Manager focuses on overseeing the compliance throughout the business. The ideal candidate must be able to integrate seamlessly into an established, fast-paced working environment and be able to keep up-to-date with regulatory

changes. Attention to detail and the highest level of integrity is a must. You must also possess good keyboard skills, be a great communicator and able to offer constructive feedback to the business and our advisors. Punctuality & attendance are also important attributes.


Managing the Training & Competence (T&C) Scheme, you will need to:

  • Conduct half yearly 1-1 reviews with the firm’s Financial Advisors and maintain good practices in managing the training and competency scheme
  • Discuss any relevant training required, including knowledge gaps
  • Keep up-to-date with regulatory changes and new legislation and communicate findings to advisors and staff within the firm
  • Monitor Continuous Professional Development (CPD) and gather evidence this has taken place and is up-to-date at all times.
  • Manage and oversee the business register and collate data for KPIs to use with 1-1 meetings and improve firm/advisor business mix (provider spread, product spread etc.) to maintain the very highest standards
  • Be responsible and facilitate new advisor recruitment and the recruitment process. This includes CRB checks, application processing, qualification checks and background research including references and credit checks to follow companies and FCA procedure.
  • Complete file checking procedures for all advisors. This includes being able to do file checks to firm level and ad-hoc more detailed file reviews for complex cases. You will be required to facilitate methods of random checking and also be able to feedback quality issues to the relevant advisors. Also, you must ensure that remedial action comments are carried out
  • Carry out advisor observations to maintain professional standards to include within 1-1s and to give valuable feed back to the director

 

Compliance Oversight will include:

  • Reviewing all client facing and internal compliance documents and keeping them up to date to FCA/Jones & Co requirements
  • Liaising with Simply Biz and reading regular compliance updates, regulatory changes and being familiar with Simply Biz portal
  • Building and maintaining a close relationship with the FCA to stay in contact with regulatory changes and developments and communicate these efficiently to the advisors
  • Creating and maintaining due diligence documents for formal introducers and maintaining evidence and relevant regulatory documents and formal introducer agreements
  • Filing appropriate compliance reports to regulatory agencies for example, bi-annual Gabriel Return to the FCA using data collated on the business risk register
  • Attending seminars/regulatory events/compliance events to gain valuable knowledge of the industry and its requirements to uphold an ethical and compliance advice business model
  • Helping collate valuable information to discuss at the quarterly business risk meeting
  • Assisting with delivering the content of the business risk meeting with the director of the business
  • Helping advisors in sourcing training courses and events to develop CPD
  • Arranging/monitoring annual testing of advisors and reducing any knowledge gaps

 

Additional skills and tasks:

  • Ensuring that all Jones & Co business marketing material, real time and non-real time, is accurate and compliant
  • Monitoring the firm’s website for compliances issues and overseeing content
  • Overseeing the business in the absence of the director and helping to monitor other staff within the business
  • To analyse the results of the internal customer satisfaction survey be responsible for any improvements or amendments that need to be made
  • To assist with the firm’s central investment process and developing innovative ways of doing business if efficiency can be improved. For example, research on RSMR portfolios multimanager funds and platform due diligence and reviews of the companies we use.
  • To handle any client complaints according to the internal complaints procedure and ensure that the complaint is resolved promptly and compliantly
  • To monitor advisors’ business registers and ensure they are up-to-date and fully compliant
  • To proactively support the director with overall business HR function and co-ordinate recruitment policy and process

Post: Financial Advisor
Salary: Bespoke salary and benefits package based on experience/OTE 100k+
Bonus: Tiered performance bonus scheme

Hours: 20 Days (140 hours) holiday entitlement, increasing with service (excluding Bank Holidays) Opportunity to buy additional holiday based on performance.

Open Hours: Monday – Friday 9.00am – 5.00pm
Responsible to: Director – Mark Jones

Working in the financial sector and looking for a new challenge with a dynamic team that will take your career to the next level?

As a result of strong growth here at Jones and Co in Chesterfield, an exciting opportunity has arisen for an experienced Financial Advisor with the following key responsibilities accountabilities.

 

You will need to:

  • Be able to attain and maintain competent status as defined by the FCA and the firm
  • Demonstrate a strong customer focus to build lasting relationships with clients in order to run a successful portfolio and encourage new client connections
  • Have the ability to network and generate leads in conjunction with our support team to secure new professional connections
  • Support clients’ needs and objectives by communicating information in a way that is clear, fair and never misleading
  • Work with our support team to produce technically accurate, compliant and concise financial plans for clients
  • Participate in and attend training events to increase your industry knowledge and represent the firm
  • Interact with our existing team by sharing & suggesting ideas, attending & participating in meetings and leading by example in a professional and friendly manner
  • Be proactive in keeping up-to-date with industry legislation, knowledge of events and maintaining a compliant and accurate CPD record; this is of paramount importance.
  • Actively engage and build relationships with professional bodies

 

Skills:

  • Excellent communicator, interpersonal and active listening skills
  • Proactive problem solving
  • Self-motivated and organised
  • Good level of numeracy
  • Proficient IT skills
  • Discretion and an understanding of the need for client confidentiality
  • Comprehend GDPR in relation to the financial services industry

 

Other requirements:

  • QCF Diploma Level 4 or equivalent
  • Working towards Chartered status is an advantage
  • Current holder of CF30 function
  • Proven work experience as a successful Financial Advisor

We look forward to hearing from you!

 

Post: Trainee Financial Advisor
Salary: £25,000 plus car allowance and benefits package. Opportunity for pay increase when attained competent advisor status CAS
Bonus: Tiered performance bonus scheme

Hours: Office Hours 37.5 hours p/w
30 minutes lunch break
20 Days (140 hours) holiday entitlement, increasing with service (excluding Bank Holidays)

Open Hours: Monday – Friday 9.00am – 5.00pm
Responsible to: Director – Mark Jones

Are you employed in the financial services sector? Have you ever considered a career as a Financial Advisor? If so, we have just the job you’re looking for!

An opportunity has arisen for an individual with the following skills and experience to join our professional team of Independent Financial Advisors here at Jones and Co in Chesterfield.

 

You will possess:

  • Financial Services experience, preferably in a trainee capacity or as a Mortgage/Savings/Banking Adviser or Paraplanner role
  • A QCF Level 4 qualification
  • A strong customer focus and an ability to build lasting relationships with clients in order to run a successful portfolio and encourage new client connections
  • Experience in working towards targets and maintaining tracker performance
  • The ability to prioritise and work towards clear objectives

 

You will be:

  • A good communicator with all different types of people and excellent interpersonal and active listening skills
  • Able to participate in and attend training events to increase your knowledge and represent the firm.
  • Capable of interacting with our existing team sharing & suggesting ideas, attending & participating in meetings and leading by example in a professional and friendly manner

This opportunity offers support, mentoring and progression through a structured development programme. Our objective is to ensure a fast-paced, progressive and enjoyable journey resulting in achieving competent adviser status.

 

Other requirements:

  • QCF Diploma Level 4 or equivalent is essential
  • Driven individual who has a strong desire to build a career in the financial services industry
  • Excellent work ethic
  • Driving license
  • Live within 60 minutes’ drive of the office

We look forward to hearing from you!

 

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