Job Information

Purpose of the role


To complete a number of non-client facing tasks involved in preparing and administrating a Financial Plan and / or Report for clients.



Skills and knowledge


Skills

� Excellent inter-personal skills, both written and verbal.
� Excellent report writing skills.
� Accurate with good attention to detail.
� Time management.
� IT :use of Microsoft Office packages and a financial services back office system.


Knowledge

� Detailed knowledge of the FCA�s rules and requirements.
� Detailed knowledge of the FCA�s and the firm�s record keeping requirements.
� Broad knowledge of the financial services sector.
� High level of technical knowledge.
� Suitable Level 4 qualification desirable.





Responsibilities





General



� Keep up-to-date with new product, technical or legislative changes within the marketplace.
� Comply at all times with the firm�s Compliance; Training & Competence; Complaints and Data Security policies / procedures.
� To ensure that the firm�s clients are treated fairly at all times.
� To work as part of a team alongside the firm�s advisers and administrators to provide clients with a professional ongoing Financial Planning experience.





Specific


To prepare and maintain client files
� Once in receipt of a completed �factfind�, collate all the relevant quantitative detailed information required to compile a financial services report.
� Check all paperwork / information is available to ensure that the client file meets the FCA�s rules and requirements.
� Discuss the client�s needs and objectives with the relevant adviser.


To prepare recommendations
� Undertake research to identify suitable solutions to meet the client�s needs and objectives.
� Prepare information for analysis by the adviser.
� If applicable, liaise with the client�s legal and tax advisers.
� Prepare draft recommendation report.
� Discuss draft recommendation report with the relevant adviser.
� Obtain �sign-off� by the relevant adviser.


To implement recommendations
� Prepare suitability reports in accordance with the agreed recommendations.
� Complete application / proposal forms.
� Ensure all compliance paperwork is in order.
� If relevant, act on any changes made by the client.
� Implement the chosen / agreed investment strategies.


To undertake client reviews
� Act as main point of contact and deal effectively with queries from clients and other parties.
� Establish and build strong relationships with clients.
� If required, attend client meetings with adviser.
� Organise future planning meetings with clients, in accordance with agree timescales.
� Review investment portfolio, asset allocation, risk profile etc.