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£25000 - £30000 plus benefits

We are delighted to be working with this Investment Management Midlands based firm that offers a personal and discreet financial planning service that aims to deliver integrated and specialist funding advice for corporate and private individuals.

The firm are able to deliver a ‘boutique’ access to financial solutions – whilst ensuring, through significant investment in systems and controls, that diligence is ever-present in the process of advice and product selection.
Due to the continued growth of the business, this is an opportunity for an experienced Senior IFA Administrator/Junior Paraplanner to join the East Midlands team, based in their Nottingham office.
If you are part way through your Level 4 Diploma and are looking to make the next step in your career, this is a path through to becoming a qualified Level 4 paraplanner (with potential to move into an advising role in the longer term if this appeals).
Role purpose and overview
  • To support the advisers by helping them become as productive as possible, through the undertaking, delegating and co-ordination of all administrative and para-planning duties. In so doing Account Executive helps to ensure
  • The delivery of a quality and timely service to their clients and the smooth acquisition of new clients
  • Maintain management information on the POD performance
Relevant Skills and Knowledge
  • Understanding how a case is properly packaged for easy new business processing
  • Be able to put together a review agenda and pack, including valuation report
  • Working to and maintaining basic administration, technical knowledge including progressing towards Level 4 qualifications within 2 years 
  • Detailed knowledge and understanding of the firm’s administration and client service requirements and who does what within the business
  • Understanding of the sales process and provision of advice to clients in a compliant manner as detailed in the firm’s compliance manual and procedures
  • Be able to undertake product research
  • Able within a year to produce the simpler suitability reports, such as ISA reports, top-ups, protection etc.
  • Have a good knowledge of the products and services provided by the Estate Planning division and documentation required by Consultant/ Adviser for new business 
  • Have a working knowledge of Voyant
  • Good inter-personal skills to instil client confidence be it over the phone or face to face in joint meetings
  • Organisational skills – to be able to monitor and manage own workloads as well as workflows between the adviser and the centralised services 
  • Strong understanding of how to maximise the use, efficiencies and other benefits from the Back Office System
  • Have good knowledge of platform and non-platform based investment and pension products including SIPP and SSAS
  • Have working knowledge of submission of on line applications and processing of “paper based” applications for life, investment and pensions business 
General Responsibilities
  • 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 (anti-money laundering, data security, anti-bribery, fraud and corruption) 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
Specific Tasks / Responsibilities
  • Ensure all dealings with customers are carried out in a professional and courteous manner, to include making / re-arranging appointments, handling incoming enquiries and requesting information as required
  • Undertake product and market research
  • Ensure all supporting documentation is maintained as per company procedures
  • Maintain all standards of performance as required by the firm
  • Ensure relevant CPD is maintained and recorded accurately
  • Receiving instructions during debriefings from Lead Consultant, Senior or Servicing Adviser following client meetings and following through with them as agreed
  • Interpreting data obtained by Consultant/Advisers during client meetings
  • Analysing data and using research tools to provide solutions to meet client needs and objectives
  • Providing records to support research undertaken
  • Consolidation of client needs and objectives, together with the recommendations and course of action in a written format via a draft suitability letter, client specific illustration/ key feature document and forms/ information required for sign up as directed by the Consultant/ Adviser
  • Maintain contact with Light Touch clients and identify any needs or business opportunities discovered
  • Oversee delivery of on-going service and prepare files for clients within the Pod
  • Make appointments for Consultant/ Advisers, as directed
  • Liaise with Paraplanning (internal/ external) to explain requirements and track delivery of reports
  • Liaise with New Business / Existing Business teams to handover packaged cases and sort out any further requirements
  • Ensuring all client files are compliant on an ongoing basis
  • Produce ad-hoc (non standard) and standard letters in response to customer/provider queries 
  • Check client valuations and summaries as required by the Consultant/ Advisers
  • Produce initial cash-flow plans from Voyant and update them for client reviews
  • Running comprehensive diary and notes system for each piece of business whether it is new business, increments or any policy variations 
  • Undertake project / client work as directed by the Consultant/Adviser/ Administration Manager / Managing Director/ Practice & Compliance Director
  • Collate weekly and monthly management information for Lead Consultant monthly reporting, namely clients seen, appointment numbers held, new clients acquired, yields per meeting etc.
  • Competitive salary
  • Workplace Pension
  • Death in Service Lump Sum
  • 23 days holiday + bank holidays
  • Support with Level 4 exams
Job Role: 
Employment type: 
Employed (Full Time)
Financial Planning
Reference Number: