Gale and Phillipson
Newcastle Upon Tyne, Tyne and Wear
17 Jul 2017
16 Aug 2017
Contract Type
Full Time

A fantastic opportunity to join a growing firm that provides independent financial advice and a range of wealth management solutions to clients across the UK. Gale and Phillipson was formed in February 2015 through the merger of two well-established firms of financial advisers and this is a time of exciting growth for the Company.

The successful candidate will join the Para-planning Team which is responsible for researching solutions for clients and preparing written advice on behalf of our Wealth Planning Advisers. You will be a vital member of the team who will be relied upon for technical guidance by all aspects of the Company, and will work closely with our Compliance Department to ensure that clients receive financial advice which meets the guidelines set by the Regulator and the Company.


Will reflect the skills and experience of the individual. Basic salary is expected to be in the range of £22,500 to £27,500 for a 37.5 hour per week contract, plus bonus and other benefits.

Main duties:

  • Keeping up-to-date with new products, technical or legislative changes within the marketplace.
  • Discussing client objectives with adviser.
  • Working with the adviser to gather sufficient client information, including delegating appropriate information gathering tasks to Client Administration Team.
  • Liaise with advisers over areas of planning as required.
  • Undertake research both independently and with the adviser to identify suitable solutions to meet the clients’ needs.
  • Understand and apply all of the Company’s research systems.
  • Prepare information and comparisons for the adviser’s consideration.
  • Liaise with the client’s tax/legal advisers (if applicable).
  • Preparing written advice using the relevant report writing system to be discussed with and signed off by the adviser.
  • Prepare pre-approval documentation prior to report writing, ensuring recommendations are researched and signed off by Compliance, Technical and the Investment Team where appropriate.
  • Responsible for ensuring that reports contain totally correct information before issue to client.
  • Liaison with Compliance on amendments to content of written advice and standard Company templates.
  • Responsibility for maintaining accurate computer records as necessary via the relevant systems.
  • Responsible for clear and concise instructions to Client Administration Team to ensure proposals and documentation are correctly completed.

Key qualities and skills required:

  • Good written and verbal communication skills.
  • Good organisation skills.
  • Ability to work under pressure with excellent attention to detail.
  • Confident using Microsoft Office products and the ability to learn new systems and processes.
  • Good working knowledge / experience of para-planning and related systems as they apply to both individuals and corporates.
  • Comprehensive knowledge of a wide range of financial products and services.
  • Ability to write bespoke pieces of advice for more complex cases where templates are not easily applied.
  • Confident undertaking the research required to assess a piece of advice, including the preparation of tax calculations (eg capital gains tax, inheritance tax, chargeable events on life assurance products).
  • Experience of working within defined service standards and procedures with a working knowledge of relevant regulatory requirements, particularly around suitability and delivery of advice.
  • Good track record in delivering customer satisfaction.
  • Ability to build and develop effective working relationships.

Additional useful qualities and skills

  • Previous experience of Adviser Office an advantage.
  • Qualification to QCF Level 4, or willingness to work towards this.