Paraplanner
Up to £40,000
Birmingham
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:
1. Ensure all dealings with customers are carried out in a professional and courteous manner
2. Undertake sufficient product and market research
3. Maintain all standards of performance as required by the firm
4. Ensure relevant CPD is maintained and recorded accurately
5. Comply with the Financial Services and Markets Act 2000 and the relevant FCA rules at all times
6. 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
7. Always follow appropriate ethical standards within the firm
Additional Responsibilities:
1. Receiving instructions during debriefings from advisers following client meetings
2. Interpreting data obtained by advisers during client meetings
3. Analysing data and using research tools to provide solutions to meet client needs and objectives
4. Providing records to support research undertaken
5. 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
6. Carrying out all tasks in a manner consistent with compliance procedures
7. Preparation of existing client files ready for reviews
8. Ensuring all client files are compliant on an ongoing basis
9. Produce Suitability reports as required by the Managing Director / Practice & Compliance Director
10. Producing ad-hoc (non-standard) and standard letters in response to customer/provider queries
11. Checking client Valuations and Summaries as required by the Administration Manager
12. Obtaining life, investment and pension quotations using research tools
13. Presenting quotations to advisers along with relevant data and documents required for the advice to be provided
14. Understand and produce reports for the research software used in the business e.g. Aequos, Morningstar, Selecta pension, Allen bridge, Voyant & Dynamic Planner
15. Have a comprehensive understanding of the IO back-office system and how it is integral to our business
16. Running comprehensive diary and notes system for each piece of business whether it is new business, increments or any policy variations
17. Have working knowledge of platform and non-platform-based investment and pension products including SIPPs and SSASs
18. Have a working knowledge of the products and services provided by Elevation Estate Planning Ltd
19. Monitor the performance of the DFM's as directed by the Practice & Compliance Director
Skills and Knowledge
1. The requisite knowledge for the role being undertaken
2. Be working to / maintaining basic administration, technical knowledge and qualifications for the job role
3. Detailed knowledge and understanding of the firm's administration and client service requirements
4. 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 reference NJR15446. #J-18808-Ljbffr