Kingswood Holdings Limited (trading as Kingswood) is an AIM-listed integrated wealth management group, with more than 16,000 active clients and c. £6 billion of Assets under Management. It has a growing network of offices across the UK as well as offices in New York and Johannesburg. Clients range from private individuals to some of the UK's largest universities. The Group's vision is to become a leading global provider of trusted wealth planning and investment management solutions to clients, underpinned by investment in people and innovation in technology to support our advisers and clients. This role will be working within the Client experience, marketing and communications team.
This is a key role within the business, providing support to our Wealth Planners on financial strategies, plans and products to clients.
Reporting to the Vice President - Wealth Planning, this is a pivotal role for the team and will involve developing and maintaining internal relationships to help maintain the flow of business in line with company strategy.
1. Preparation of Advice
- Produce financial planning reports for consideration and signoff by advisers taking into account standards for suitability and quality
- Analyse client portfolios/products and other relevant information in order to prepare the above
- Obtain illustrations and supporting documents as required to complete the advice file for presentation to the client
- Prepare cash flow analysis as required
- Provide accurate, technical research to ensure that the client file carries all required information to support the recommendations
- Liaise with the Compliance department as necessary throughout the advice process
- Be a point of technical reference for advisers
- Build and maintain various company/ provider panels
2. Adherence to Management System & Controls
- Maintain an up to date knowledge of company policies and procedures
- Ensure timely execution of adviser instructions
- Work with colleagues to ensure adherence to company procedures and standards
- Refer all client complaints and concerns promptly to your Manager, the Adviser and the Compliance Officer
- Ensure all client documents and relevant correspondence is saved to client files to ensure advice files are complete
- Maintain records according to the company standard
3. Effective Communication & Support
- Communicate with colleagues, clients and product providers as needed
- Attend regular Paraplanning meetings to discuss ongoing work and ensure advice approach across the team is similar
- Assist the wider team when needed and when there is capacity to do so
- Maintain the workflow log including the addition of new work requests and updating of completed work
- Ensure that work items are closed correctly on the CRM once the work has been carried out
Please note that due to the high volume of applicants responding to our adverts we are regrettably not able to feed back on all applications; only successful candidates will be contacted.