- To provide a first-class compliant and technical and administrative support service to the Advisers enabling them to deliver appropriate advice and solutions to clients in all areas of financial planning. Working closely with the Advisers, Directors, Paraplanners and administrative support staff, you will be responsible for ensuring the client receives the highest level of service at all times.
- You will be fully accountable and self-reliant and be able to produce accurate work with minimum input from others.
- It is expected that you are working towards the CII or CISI professional qualification benchmark or be committed to achieving this. Your Employer will assist you with financial support for further training and examination where relevant, but you will be expected to take full responsibility for your continuous professional and personal development.
- You must not give any financial planning or investment advice when representing my client
Relevant Skills and Knowledge
- Strong understanding of financial services terminology.
- Knowledge of financial services solutions and associated regulatory requirements (for example tax efficient investments, retirement provision, investments, protection).
- Keeping up to date with legislative and industry changes which affect the business and its Clients.
- Client servicing.
- Team working.
- Developing and maintaining internal relationships across the business.
- Responding to internal and external queries promptly.
- Ensuring processes and procedures are followed and service standards are met.
- Time and priority management including diary and task management of client work.
- Continuous professional development to meet regulatory requirements and personal development need.
- Researching products to support recommendations made by the Financial Advisers
- Supporting the Advisers to ensure client files are compliant in terms of research and record keeping, to meet internal and external regulatory and procedural requirements
- Assisting the Advisers with client presentations and any other activities as agreed with the Financial Advisers
- Drafting financial planning recommendation and suitability reports to meet client needs and objectives
- Providing technical support to clients, Advisers and team members.
- Ensuring client and plan information is correct on systems (premiums, withdrawals, transfers and switches, plan types and compliance details etc).
- Managing, recording and monitoring client annual reviews, producing valuation and review information and managing their delivery
- Ensuring client servicing requirements are met in line with the agreed service schedule (for example valuation production and delivery)
- Submitting business, ensuring that procedural and compliance audit requirements are met.
- Preparing files for review meetings (annual, half yearly and ad-hoc), writing agendas and providing fund, product and research and data analysis.
- Contributing to the AIS and other investment management procedures
- Contributing to regular reviews of services and products
- Processing and submitting new business, ensuring that all procedural and compliance audit requirements are met for each new business submission.
- Preparing files for review meetings (both annual, half yearly and ad-hoc), writing agendas and providing fund, product and research analysis.
- Ensuring post meeting actions are logged and processed timely.
- Ensuring that all Client requirements are followed through to the appropriate conclusion, with accurate record keeping
- Processing and submitting changes to existing plans, investments and policies (for example amendments to premiums, withdrawals, funds, replacement plans)
- Ensuring the client file meets auditing expectations
- Data extraction, checking and analysis
- Assisting with implementing and improving technical administrative processes
- Identifying and rectifying errors
- Competent administration through wrap platforms utilised by the company
- Contributing to client events
- Telephone cover
- Other ad hoc duties as required to contribute to the effective running of the business