About us
The SMH Group offers a comprehensive suite of financial services to our clients including Accountancy, Financial Services, Wills & Probate, Commercial Finance, Residential Mortgages and Corporate Finance. We have over 150 employees across our 10 offices throughout the Yorkshire/Derbyshire region.
At SMH Group we truly believe our people are our greatest strength which is why we want to give them the confidence to grow and shape their future. As we continue to grow as a business we strive to be guided by our core behaviours – Client Centric, acting as One Firm, and Caring by doing the right thing for our people, clients and communities. As clients and our people at the fore front of everything we do, we leave no stone unturned to deliver consistent and impactful results. We foster a culture of respect, support, and inclusion within our teams.
If you’re looking to be part of a purpose-driven team we’d love to hear from you.
What will you be doing in the role?
As a Financial Services professional you will provide high-quality administrative support while assisting with key compliance activities. This role blends client-focused administration with regulatory data preparation, FCA reporting support, and coordination with external compliance reviewers.
Key responsibilities include:
- Regulatory Compliance Support
- Gather and extract data from Intelligent Office for regulatory, management, and performance reporting.
- Prepare data for FCA reporting including PROD, complaints MI, and Consumer Duty metrics.
- Support team KPI tracking and adviser performance MI.
- Maintain compliance registers including breaches, gifts, training & competence.
- File Reviews & External Compliance Liaison
- Submit client files for external compliance review.
- Track and follow up on review outcomes.
- Maintain adviser supervision records including CPD and competency documentation.
- Support internal audits and quality checks.
- Operational & Team Support
- Assist in improving operational processes.
- Support internal meetings with note taking and action tracking.
- Assist with project work including system improvements and data cleansing.
- Client administration:
- Client meeting confirmation
- Iris input / record keeping
- IO input / record keeping (includes risk profiler reports)
- Creation of client files (electronic)
- Obtaining information from providers
- Management of letter of authorities to completion
- Liaising with clients and providers
- Stationary / post:
- Management of all office stationery needs (incl printer/scanner)
- Creation of new client packs for adviser meetings
- Management of post (delivery/collection/scanning)
- New business processing (pre-sale):
- Creation of provider illustrations / applications / fund information etc
- Production of client presentation documents
- New business processing (post-sale):
- Processing of online/paper applications
- Monitoring new business pipeline through to completion
- Chasing underwriting for protection cases
- Deal with all provider documentation
- Client reviews:
- Produce all pre-meet review documentation
- Process post meeting review meeting documentation
- Production of post review letters
- Group schemes:
- Monitoring of existing schemes
- Deal with annual renewal documentation / illustrations
- Set up new schemes through to completion
- General admin:
- Deal with day-to-day correspondence from providers
- Action adviser / client requests
The Successful candidate
The person:
- Strong communication skills
- Excellent time management
- Self-motivated
- Attention to detail
Skills and Experience:
- Minimum 3 years’ experience within a financial planning or wealth management environment (essential)
- Understanding of FCA regulatory requirements including SM&CR, Consumer Duty, and T&C (essential)
- Excellent accuracy, attention to detail, and written communication (essential)
- Competent with Excel and structured reporting (essential)
- Strong working knowledge of Intelligent Office (desirable)
- Progress toward CII Level 4 Diploma in Regulated Financial Planning or desire to study (desirable)
- Experience working with external compliance consultants (desirable)
Our benefits and perks
- Salary: £28,000 – £35,000 depending on experience
- Study support for professional qualifications
- 25 days holiday, plus bank holidays (with the ability to purchase up to 5 more)
- Pension scheme
- Health Cash Plan (Level 1)
- Life Assurance 4x salary
- Eye tests
- Social events
- Volunteering opportunities
- Staff discounts on Wills, LPAs and residential mortgages
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