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Purpose of Job
To promote the company’s services in a professional and FCA compliant manner by working in collaboration with Financial Advisers and other colleagues to process new and existing business, while also providing full administrative support in accordance with the internal policies and procedures.
Key Accountabilities
- Deal effectively with queries from clients and other parties accurately and with the appropriate communication.
- Liaise with clients by telephone - take verbal instructions and act on these. Also pass to appropriate individuals and departments promptly if unable to deal with requests.
- Make appointments for financial advisers.
- Create and maintain accurate client records in line with company procedures and policies.
- Liaise with product providers and other third parties
- Cover for absent colleagues if appropriate
- Carry out reasonable request of tasks required by the Management Team in an efficient and courteous manner.
- Train colleagues and share knowledge
- Create procedures documents for the tasks undertaken in the role
- Report any errors and omissions to the Compliance Manager
- Report any breaches to the Data manager
- Report any complaints to the Compliance Manager
- Report any FC/AML related matters to the Risk Manager
- Comply with the principles of Treating Customers Fairly and Consumer Duty principles
Skills and Experience
Qualifications:
- Ideally educated to at least A Level or equivalent standard. To include Maths and English GCSE grade B or Grade 5.
Experience/Knowledge:
- At least 3-5 years’ experience in a financial planning role
- Previous experience in a related role using IO will be advantageous.
- Proficiency in Microsoft Office Suite.
Skills:
- Understanding of the Financial Planning process and products.
- Able to work within defined business processes.
- Ability to achieve agreed outcomes without supervision.
- Ability to work independently or in a team.
- Prioritise and plan own workload.
- Detailed and accurate.
