What are we looking for? –
- Work closely with the consultants to fully understand the client’s objectives, needs and priorities, to provide holistic financial planning for the client.
- Carry out research and consider the bigger picture (e.g. tax implications) to find solutions to objectives, factoring these into suitability letters/reports.
- Proactively look to add value and influence the planning and solution recommended for the client, identifying and highlighting any additional or future planning points as appropriate.
- Liaising with the Head of Technical Support and Compliance Manager to highlight/discuss any complex, unusual or ambiguous cases.
- Liaising with colleagues in other service lines, as appropriate, to ensure a joined up approach to the holistic planning.
- Work closely with the client service team to gather accurate information required for prepping and planning cases, clearly setting out what is required and timescales.
- Adhering to regulatory requirements, compliance procedures, departmental and firm-wide processes.
- Ensuring a complete and accurate audit trail is maintained at all times.
- Taking ownership for keeping up to date with legislative / regulatory changes / CPD.
- Proactively get involved and contribute ideas as part of continuous improvement. Support and embrace necessary changes. Share best practice and knowledge as appropriate.
- Ensure agreed personal objectives are progressed on a timely basis.
- Provide ‘subject matter expert’ input as appropriate and when requested, and provide appropriate training, direction and support for others where needed.
- Take ownership for identified projects.
- Ability to deliver first class client service.
- A proactive and positive approach and the ability to take the initiative.
- Attention to detail.
- Excellent communication skills.
- Ability to prioritise workload effectively.
- An appreciation and understanding of how other roles within the department are inter-dependant.
- Confidence to discuss cases with the consultant and seek further information as appropriate, to ensure the starting point of any case is fully compliant and objectives are fully understood.
- Confidence to refer complex/unusual/non-compliant cases to the Head of Technical Support or Compliance Manager.
- Advanced experience using the full Microsoft Office suite.
- Experience of using Iress Adviser Office/XPLAN and provider platforms.
- Previous experience of working within a professional financial services firm.
- Previous experience of working within a strong compliance culture.
- Diploma in Regulated Financial Planning or equivalent