Job Information

Our Client provides integrated wealth management solutions for high net worth individuals and their families, trusts, charities and corporates. They are recruiting for an individual who has experience of working within Financial Services, Wealth Management or an IFA and possess good administrative skills. You do not need industry specific qualifications.

Objective:

To provide full secretarial and administrative support for the Harrogate Office in respect of the all investment management and financial advisory business and “Sales and Marketing”.

Main Duties and Responsibilities:

1. To provide full secretarial support to the Harrogate Office to include: undertaking confidential typing, diary management, photocopying, faxing; making meeting and travel arrangements; aiding in marketing and event management, producing high quality documentation such as reports, letters, presentations, minutes and proposals; maintenance of client files.

2. To handle introducer and client (including prospective introducers and clients) queries and requests, referring as necessary; to respond promptly to introducers and clients or ensure a prompt response is given by the appropriate member of staff.

3. To answer and route incoming telephone calls promptly and efficiently.

4. To greet visitors to the Harrogate office to include the arranging of meeting rooms.

5. To open and date-stamp all incoming mail and to frank and despatch all outgoing mail.

6. To bank all incoming cheques on day of receipt, record the appropriate details and liaise with the Finance Department and Sevenoaks Client Services Department.

7. To process all incoming White List PEP and ISA and non-White List PEP, ISA and Unit Trust/OEIC applications on the day of receipt, to include the timely and accurate input of “Execution Only” client data into the “Access” database.

8. To settle any “Execution Only” deals on a daily basis, record the appropriate details and liaise with the Finance Department and Sevenoaks Client Services Department.

9. To ensure the prompt settlement of initial commission due and payable to the Company.

10. To maintain and order stationery and consumables for the Harrogate office, securing value for money to include the maintenance and repair of office equipment.

11. To assist all the Investment Managers and Financial Planners with ‘ad-hoc’ projects and other tasks, as required.

12. To report promptly to the Company’s Money Laundering Reporting Officer any known or suspected money laundering activities by the Company’s clients or prospects (or by the person on whose behalf the client/prospect is acting).

13. To act in an ethical way at all times. To act in accordance with the Company’s operating and compliance procedures at all times and to bring any potential or actual breaches to the immediate attention of the Head of Compliance, always conscious of the FCA’s Treating Customers Fairly principles.


Competencies for the role of Administrator

Technical : Skills specific to the role of Administrator

Carries out his/her everyday duties in a competent fashion to meet the requirements of the job.Consistently produces accurate work with keen attention to detail in presentation, layout grammar and spelling, with only rare errors.
Has a good understanding of the IT software packages and databases necessary to do his/her job and which underpin the Company’s business.
Has detailed knowledge of the policies and procedures that relate to his/her role.

Analytical and Reasoning : Ability to solve problems relating to the role

Capable of thinking effectively on his/her feet.
Shows initiative and takes a proactive approach to problem solving.
Shares information and solutions with others.

Commercial Awareness : Understanding of how the Company operates, its services and market

Demonstrates knowledge of the Harrogate client portfolios and the service the Harrogate office provides.
Is able to route clients’ and introducers’ enquiries speedily and accurately
Respects confidentiality when dealing with the Company’s business.

Personal Impact : The ability to present a professional image and communicate effectively

Demonstrates good listening skills and checks for understanding where necessary.
Creates well-organised, accurate documents, adhering to the Company’s and, where applicable, FCA standards at all times.
Keeps managers’ informed of work status and seeks clarification when appropriate.
Demonstrates ability to communicate well with clients and colleagues.

Client Care : The ability to respond to both internal and external clients’ needs and expectations

Checks understanding of clients’ needs if unsure of requirements.
Meets or exceeds managers’ expectations in completing assigned work.
Responds to requests in a polite and friendly manner and takes responsibility for ensuring requests are seen through to the end.
Keeps the client informed of progress, particularly if a deadline cannot be met.

Contribution to the Company : The ability to contribute to the development of the business as an individual and team member

Responds positively to changes in organisational structure and/or processes.
Focuses on meeting personal, team and objectives of the Teesside office.
Participates fully as a team member, relating to people in a friendly and professional manner.

Planning and Organising : The ability to plan and organise own work to meet goals and deadlines

Works to given timeframes and anticipates workflow to manage time effectively
Asks if unsure of priorities and deadlines.
Identifies and communicates conflicts when they occur.
Adheres to established processes and procedures.

Motivation and Values : Personal motivation and values that impact on performance

Keen to carry out role to the highest standards
Is enthusiastic about role and keen to contribute to the team
Collaborates willingly and effectively with others
Demonstrates high level of personal and professional integrity