- 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 and, financial crime (anti-money laundering, data security, anti-bribery, fraud and corruption) procedures of the company at all times.
- Keep up to date with all relevant product, legislative and technical changes, as required.
- Ensure all dealings with clients are carried out in a professional and courteous manner.
- Follow appropriate ethical standards within the company at all times
- LOA administration and processes.
- Process new business application.
- Making appointment packs.
- Valuations.
- Letter writing.
- Telephoning providers.
- General administrative duties when required.
- Someone who has worked in a financial services organisation who understands regulations/compliance.
- A working knowledge of Microsoft Word, Excel and Outlook with the ability to get to grips with, what might be an unfamiliar software package, e.g., our back-office system (Iress Adviser Office).
- Excellent customer facing interactions, good administration skills/phone manner and IT skills
- Well-presented.
- Self-motivated and organised, with a good work ethic.
- Will take personal responsibility for the quality and timeliness of work and can achieve results with minimal supervision.
- Able to stay focused on tasks, despite distractions and interruptions.
- Be an integral part of the team – a good communicator, willing to input new ideas and suggestions to improve process.