About the Team
The Financial Planning team are a friendly team of 30 in an office of around 70 staff who work across the wider firms services. The Paraplanners are a team of 5 working within a wider team of 16 that includes IFA’s, admin and outbound customer call staff.
There’s a relaxed, friendly atmosphere, with a mix of junior and more experienced staff, who regularly socialise with each other at quarterly team events.
Flexible Working Options
Our client will be happy to discuss the following flexible working options;
- 3, 4 or 5 days a week
- Flexi time on these days to allow early or late starts
- Compressed hours
- Option to work from home 1 to 2 days per week (once induction and training completed)
To prepare and maintain client files
- Once in receipt of a completed ‘factfind’ document, 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.
- Review current investment portfolio, asset allocation, risk profile etc.
- 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.
- 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.
Required Knowledge and Experience
- Diploma in Regulated Financial Planning, or working towards the diploma.
- Knowledge of the FCA’s rules and requirements.
- Knowledge of the FCA’s and the firm’s record keeping requirements.
- Broad knowledge of the financial services sector.
- Compliance experience would be an advantage but isn't essential.
- Excellent communication skills, both written and verbal.
- Excellent report writing skills.
- Accurate with good attention to detail.
- Time management.