Job Information

To attain competence in order to become the named financial planner for private clients to meet holistic financial advice needs.
Providing a high level, quality service on a professional but personal basis which reflects the client’s needs and expectation.
Assisting with the provision of financial advice to clients within FCA rules and the firm’s procedures. Involvement as required in the preparation of letters of advice and reports; development of trainee paraplanner.
Building and maintaining relationships and administration in respect of private clients within the business. Seeking new business opportunities to expand and strengthen the client base, contributing to overall profitability.
WORKING RELATIONSHIPS:
Clients
Consultants
Fund Managers
Administrators


DUTIES: Key tasks and Responsibilities
General
Comply at all times with the requirements of the Financial Services Act 2012, and the FCA Principles, Rules and the Code of Practice for Approved Persons
Comply at all times with the compliance and training and competence procedures of the firm
Attain required performance standards in accordance with those outlines in the Key Performance Indicators section of the Training and Competence procedures
Keep up-to-date with new product, technical or legislative changes within the marketplace
Via self-assessment and feedback, identify Continuing Professional Development (CPD) needs to maintain and enhance competent status and undertake appropriate activity to meet those needs

Liaising with Clients
Establishing and maintaining good working relationships and managing client expectations and needs
Coordination of workload for relevant clients
Assisting with the provision of financial advice to private clients

Attaining competence in order to undertake annual client reviews
New business
Identify and contact potential clients; gather sufficient client information and identify client needs
Provide new business quotations and presentations where necessary
Analyse information gathered and undertake sufficient research to make suitable recommendations
Complete all supporting documentation in an accurate manner
Work with the Manager to ensure new business targets are met
Support
Providing support to Manager and the Managing Director
Sitting on the investment/compliance committees
Day to Day Administration
Overseeing day to day administration of clients including;
- overseeing valuations for investment portfolios
- co-ordinating the purchase and sale of investments
- drafting letters & writing reports
- answering and dealing with telephone enquiries
- follow up of all administration items
- updating records.
Meeting with product providers and reporting back regarding market developments
Product and investment fund research
Drafting reports and other letters of advice
Training / Coaching
Providing on the job training for the Financial Planning Administrator and Trainee Paraplanner
Involvement with client seminars as required
Lead internal training sessions as and when required