- 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
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
- 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.
- 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.