IFA Sales Support

Coast Specialist Recruitment
From £60,000 to £65,000 per annum
30 Sep 2017
03 Nov 2017
Contract Type
Full Time
Financial Planner


Salary: £60,000 + bonus -employed package with a basic salary plus bonus, servicing an existing client bank of private wealth and corporate clients


  • To provide best advice to the firm’s clients in respect of full Financial Planning and Pension Transfer Specialist advice.
  • Relevant Skills and Knowledge

  • The requisite technical knowledge and qualification (e.g. QCA Level 4 exams).
  • Detailed knowledge and understanding of the firm’s compliance procedures including record keeping requirements.
  • Provision of advice to clients in a compliant manner as detailed in the firm’s Investment Process and procedures.
  • Attention to detail and a quality approach
  • Detailed knowledge and understanding of the firm’s procedure in respect of pension transfer and opt out business, including the necessary record keeping requirements.
  • General Responsibilities

  • Comply with the Financial Services and Markets Act 2000, the FCA Statements of Principle & Code of Practice and the relevant FCA rules at all times.
  • Comply with the relevant compliance, TCF, T&C, and financial crime (anti-money laundering, data security, anti-bribery, fraud and corruption) procedures of the firm at all times
  • Comply with all firm specific processes, procedures and systems.
  • Keep up to date with all relevant product, legislative and technical changes.
  • Specific Responsibilities

  • Ensure all pension transfer and opt out cases are reviewed before the recommendation is given to the client and formally sign off the new business pre-approval sheet appropriately.
  • Keep an accurate and up to date record of all pension transfer and opt outs reviewed by the firm, including clients which did not transfer
  • Keep an accurate and up to date record of any pension transfer/opt out that has been arranged on an execution only, insistent customer or correspondence only basis.
  • Prospect / contact potential clients in accordance with the firm’s business plan / Supervisor’s guidance.
  • Ensure sufficient 'know your client’ information is obtained and analyse information gathered.
  • Undertake sufficient product and market research and ensure this is recorded as per company procedures.
  • Ensure suitable recommendations are made.
  • Ensure all supporting documentation is maintained.
  • Ensure a current, in date Statement of Professional Standing (SPS) is held at all times
  • Attain and maintain level of competence as required by the firm.
  • Maintain all standards of performance as required by the firm.
  • Ensure relevant CPD is maintained and recorded accurately.
  • Ensure all dealings with customers are carried out in a professional and courteous manner.
  • Identifying opportunities to increase business revenues and lead generation between IFA and GI departments.
  • Assisting other team members in developing client relationships.
  • Developing own relationships with new and existing clients.
  • Membership of and attendance at quarterly Investment Committee meetings including specifically but not exhaustively Market Overview & Fund Performance Recommendations

  • This job was originally posted as www.totaljobs.com/job/75969234