Our client, a privately owned firm who offer independent financial advice to both corporate and private clients is currently looking for a Paraplanner to join their team. The successful candidate will ensure adherence to both the Financial Conduct Authority’s (FCA) and the firm’s internal Training and Competence (T&C) regimes. This critical role involves ensuring that staff have the necessary knowledge, skills, and competences to provide accurate and compliant information regarding investment products, services, and ancillary services.

Key Responsibilities:

Ensure all dealings with customers are carried out in a professional and courteous manner
Undertake sufficient 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
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
Always follow appropriate ethical standards within the firm

Paraplanner

Receiving instructions during debriefings from advisers following client meetings
Interpreting data obtained by 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 suitability letter, client specific illustration and key feature document
Carrying out all tasks in a manner consistent with compliance procedures
Preparation of existing client files ready for reviews
Ensuring all client files are compliant on an ongoing basis
Produce Suitability reports as required by the Managing Director /Practice & Compliance Director
Producing ad-hoc (non standard) and standard letters in response to customer/provider queries
Checking client Valuations and Summaries as required by the Administration Manager
Obtaining life, investment and pension quotations using research tools
Presenting quotations to advisers along with relevant data and documents required for the advice to be provided
Understand and produce reports for the research software used in the business e.g. Aequos, Morningstar, Selecta pension, Allen bridge, Voyant & Dynamic Planner
Have a comprehensive understanding of the IO back-office system and how it is integral to our business
Have working knowledge of submission of online applications and processing of "paper based" applications for life, investment and pensions business
Running comprehensive diary and notes system for each piece of business whether it is new business, increments or any policy variations
Have working knowledge of platform and non-platform-based investment and pension products including SIPPs and SSASs
Have a working knowledge of the products and services provided by Elevation Estate Planning Ltd
Monitor the performance of the DFM’s as directed by the Practice & Compliance Director
Undertake project / client work as directed by the Managing Director/ Operations and Compliance Managers.

Skills and Knowledge

The requisite knowledge for the role being undertaken
Be working to / maintaining basic administration, technical knowledge and qualifications for the job role
Detailed knowledge and understanding of the firm’s administration and client service requirements
Understanding of the provision of advice to clients in a compliant manner as detailed in the firm’s compliance manual and procedures

If you are looking for your next opportunity then apply online or for further information, speak to one of our specialist consultants quoting refence NJR15446