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- Locating, extracting and collating all information regarding to financial arrangements from third parties and providers, accurately and quickly.
- Make sure all documentation is complete and up to date, including engagement documents, applications forms and anti-money laundering documents.
- Dealing with incoming documentation
- Making sure client monies are received and properly processed
- Support clients to use the client portal
- Make sure the client onboarding process is painless
- Prepare meeting packs
- Send & track various DocuSign documents
- Prepare forms for new and existing clients
- Process applications for clients
- Deal with incoming calls from client, dealing with queries directly where possible.
- Greeting clients when the visit the office as part of the 'Front of House' experience.
- Provide printing, scanning, copying and post support for colleagues
- Assist the office manager with various duties such as manning reception and dealing with incoming post.
- Keep the office tidy and presentable
- Good technical competence using CRM systems
- Comfortable using Microsoft Office and adopting new technology
- Confident talking to clients
- Well organised
- Attention to detail
- High standards of ethics and integrity
- Diligent, chases matters to completion
- Prior experience in Financial Advice profession or similar.
- Experience using CURO or Transact platform is a major advantage (training is provided).
- Progression in Certificate or Diploma in Financial Planning is desirable but not essential to the role.
- Ownership to completion
- Fierce about focus
- Positivity
- Doing the right thing
- Growing together
- Keep up to date with new product, technical or legislative changes within the marketplace.
- Comply at all times with the Compliance and Training and Competence Procedures of the firm.
- Comply at all times with the requirements of the Financial Services and Markets Act 2000, the Financial Services Act 2012 and the regulatory Principles, Rules and the Code of Practice for Approved Persons.
- Keeping up to date with financial products and legislation through continuous professional development (CPD), in line with the required rules.
- Where required by law and/or company policy, to maintain a record of a minimum of 15 hours of such CPD activity.
- This role has been identified as being a role which includes competencies falling under the ESMA Guidelines for the assessment of knowledge and competence, effective from 3rd January 2018.
- 4x Death in Service
- Group Income Protection
- Auto-enrolment pension
- Private Medical Insurance, including Optical and Dental cover (subject to probation)
- 25 days annual leave + Bank holidays and Christmas close period
- Season ticket loan scheme
- Ride to work scheme
- CII Membership sponsored
- Exam support, with study leave
- Payroll giving option
- We operate a 3:2 hybrid working policy of (up to) 2 days per week from home.
