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To provide advice to new and existing clients on their financial planning needs. To drive new business from existing clients and acquisitions, and migrate clients to our central investment proposition, where appropriate.
General responsibilities:
- Complying with the Financial Services and Markets Act 2000, the FCA’s Conduct Rules, Statements of Principle & Code of Practice, and the relevant FCA rules at all times.
- Keeping up to date with relevant regulatory, product, legislative and technical requirements.
- Maintaining a valid Statement of Professional Standing (SPS)
- Making sure all client contact is carried out in a professional and courteous way.
- Ensuring all client files are compliant on an ongoing basis
- Maintaining client records in line with the Firm’s data security, data protection, and record keeping policy.
- Promoting the Wealth Builder service internally and externally.
Specific responsibilities:
- Completing compliant annual reviews with existing fee-paying clients via video meetings and over the telephone.
- Ensuring client reviews are completed when scheduled.
- Maintaining existing client relationships and identifying opportunities to provide additional products and services where appropriate.
- Prospecting and contacting potential new clients in accordance with the Firm’s business plan.
- Obtaining sufficient client information before making any recommendations, and ensuring all recommendations are suitable based on the client’s circumstances, needs and objectives.
- Articulating the benefits of our central investment proposition and migrating clients to this where appropriate
- Undertaking appropriate third-party product and market research where required.
- Drafting simple suitability reports from existing templates.
- Presenting financial planning solutions to clients and gaining their commitment to proceed with the recommended solution.
- Ensuring all required documentation is completed and that client records are fully updated.
Role profile:
- Excellent interpersonal skills and IT skills.
- Ability to build and maintain strong relationships with new and existing clients.
- The ability to work efficiently and accurately in a fast-paced office environment.
- Maintaining a positive attitude and delivering a professional service to clients at all times.
- Level 4 Diploma in Financial Planning, Competent Adviser Status (CAS) and current SPS.
- Previous experience of delivering advice via video meetings and over the telephone.
- Previous use of Intelligent Office is desirable but not required.
