Job Information

Main tasks and duties

Relevant skills and knowledge

•                     The requisite technical knowledge and qualification. 

•                     Detailed knowledge and understanding of the firm’s compliance procedures including record keeping requirements.

•                     Dealing with clients in a compliant manner as detailed within the firm’s compliance manual and procedures.

General responsibilities

•                     Comply with the Financial Services Act 2012 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

•                     Keep up to date with all relevant product, legislative and technical changes

Specific responsibilities

•                     Act as first point of contact for Parkgate FS LLP responding to client queries, supporting both new and existing clients.

•                     Take ownership for all assigned tasks, monitor progress and ensure all planned work is on schedule.

•                     Keep an accurate records of Adviser charges and ensure they match Client agreements.

•                     Keep an up to record of New Client Leads.

•                     Action and monitor LOA's requests to ensure all information and documents are received in a timely manner, including the updating of Clients records. 

•                     Keep and an up to date and ongoing records of future Occupational Pension transfers, ensuring all information is received within the permitted timescales.

•                     Produce and package full Client meeting packs for 'sign up' meetings and ensure new Client packs are available for each designated/allocated Adviser. 

•                     Opening, scanning and distribution of incoming post.  Processing of external post to meet pre-advised cut off time.

•                     Hospitability – ensure Boardroom and Client Meeting room are fully stocked with refreshments, kept tidy and are secure. Provision of refreshments to clients/guests as required.

•                     Photocopying, scanning and filing/archiving.

•                     Answer phones and respond to emails as well as other administrative duties.

•                     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.