Client Services Administrator

Compliance, Employee Benefits and Pensions, Finance and Risk, Intermediary Sales, Wealth Management
£21,000 Per Annum
Quarterly Bonus on Targets met
Contract Type:

Personal qualities:

  • Self-driven with a positive outlook
  • A clear focus on delivering a high quality operational process.
  • A natural forward planner who critically assesses own performance.
  • Mature, credible, and comfortable in dealing with client’s and professional’s associates with the Firm.
  • Reliable, tolerant, and determined.
  • Empathic communicator, able to see things from the other person's point of view.
  • Keen for new experience, responsibility and accountability.
  •  Able to get on with others and be a team-player.

CF1 and above and wanting to continue with Industry exams to improve Technical Knowledge and register with the Personal Finance Society

Previous experience:
Life & Pensions administration

Relevant Skills and Knowledge

  • Impeccable customer service skills; including a professional telephone manner and a clear and concise letter writing ability.
  • Broad base of compliance knowledge
  • Good understanding of other relevant legislation, including that related to financial crime
  • Be working to / maintain the basic technical knowledge and qualification. 
  • Detailed knowledge and understanding of the firm’s record keeping requirements.
  • Understanding of the provision of advice to clients in a compliant manner as detailed in the firm’s Business Manual and procedures.
  • Broad base knowledge of essential computing, including; Word/Excel/Adobe Acrobat/Outlook etc

General Responsibilities

  • Ensure all dealings with customers are carried out in a professional and courteous manner.
  • Ensure all supporting documentation is maintained as per company procedures. 
  • Maintain all standards of performance as required by the firm.
  • Comply with the Financial Services and Markets Act 2000 and the relevant FCA rules at all times.
  • Comply with the relevant Compliance, TCF, T&C, financial crime and Anti-Money Laundering Procedures of the firm at all times.
  • Keep up to date with all relevant product, legislative and technical changes, as required.
  • Follow appropriate ethical standards within the firm at all times.

Working under the authority and guidance of the Firm’s MD/Paraplannerthe successor to the role must

  • Ensure knowledge of the necessary regulatory requirements is kept up to date.
  • Comply with the Financial Services and Markets Act 2000, the FCA Statements of Principle & Code of Practice and the relevant FCA rules at all times.
  • Comply with the relevant Compliance, TCF, T&C and Financial Crime Procedures of the firm at all times.

Specific Responsibilities

  • Creating suitability reports desireable not essential
  • Creating Template letters and general client correspondence via post and email
  • Creating client policy schedules
  • Creating client files for the Adviser
  • Submitting  and processing client applications
  • Data entry
  • Managing day-to-day client queries
  • Managing Diary

General background to the role
In such a close knit environment the successor to the role would do well to have a friendly, approachably and enthusiastic nature, along with a strong and mature professional attitude.

In the absence of other team members they should be ready to step-in and cover the tasks of their co-workers, where applicable.
They should not be averse to carrying out tasks such as; file scanning, archiving, shredding and general office admin duties along with greeting visiting clients and tending to their refreshments etc.