Frankly Recruitment
Bath, Somerset
06 Jul 2017
05 Aug 2017
Contract Type
Full Time

Purpose of Role:

· To act as technical support to deliver professional quality written report documentation for Financial Planners and their clients in accordance with the company and regulatory requirements.
· To be responsible for ensuring templates and resources are available to Financial Planners and are maintained and compliant to FCA standards.

Key Responsibilities

1. Client Service/Review

* Act as first point of contact for clients regarding any technical queries and as the technical interface between clients and Financial Planners
* Preparation of client review paperwork to include fund and product research using appropriate financial systems
* Compilation of financial cashflow forecast
* Analysis, monitoring and reporting in respect of investment valuation reports, to include SIPP drawdown analysis, existing policy analysis and portfolios
* Liaise with Product Providers / Third Parties regarding any technical queries
* Review asset allocation for any Platform based holdings
* Liaise with Financial Planner to provide briefing for any updates/recommendations for client portfolio
* Attend client meetings with the Financial Planners, as required

2. Preparing Recommendations

* Preparation of required suitability reports, including solution design in conjunction with the Financial Planner
* Obtain key features documents, factsheets, illustrations and Exchange quotes through appropriate source
* Pre-complete all application forms with guidance notes where appropriate
* Preparation of authority letters, switch letters, encashment letters according to advice provided

3. Team Working

* Ensure effective communication between Financial Planner, Technical Support and PA to ensure a continued professional service is provided to clients at all times
* Provide support and assistance for other team members to ensure that tasks are completed on schedule and deadlines met

4. Compliance

* Comply with compliance procedures, TCF, Data Protection and FSA Regulations at all times to ensure regulatory requirements
* Ensure all company procedures and guidelines are adhered to
* Maintain client records and update client information on the back office system to keep an effective audit trail
* Maintain detailed record of all CPD activity

Work Experience:


* Previous experience of working in similar role within financial services
* Practical application of technical financial knowledge within career
* Previous data research and report writing experience within financial services
* Extensive experience of working with Microsoft Office products including Word, Excel, Outlook and PowerPoint
* Professional with proven strong customer focus approach to work and building / maintaining client relationships


* Experience of working in a small to medium sized financial services environment
* Experience of working with Enable back office software
* Experience of working in an environment of significant change

Skills & Qualifications:


* Fully Diploma qualified with at least one AFPC paper (ideally G10 or G60 or equivalent AF qualifications)
* Good understanding of the Financial Planning process
* Strong interpersonal skills, both written and verbal communication and customer service skills
* Excellent planning and organisational skills
* Accuracy and attention to detail to balance demands of role
* Good use of Microsoft office Desirable:
* Full AFPC or working towards
* Ability to identify income generation opportunities
* Management skills and experience
* Broad knowledge of the Financial Services Industry and high level of technical knowledge
* In depth knowledge and experience with cash flow modelling and ability to manage and complete projects
Behavioural Competencies:


* Self-motivated and proactive approach
* Exhibits professional behaviour and able to work with people at all levels of the business. Ability to work accurately to ensure that we are getting it right for our clients.
* Ability to work within a pressurised environment and on own initiative, and can work independently but also a good team player

Key Role Competencies:

* Self-Management
* Delivering Together
* Relationship Management
* Commercial Focus