Responsibilities
1. To keep up-to-date with new product, technical or legislative changes within the marketplace.
2. Comply at all times with the firm’s Compliance; Training & Competence; Complaints and Data Security policies / procedures.
3. To ensure that the firm’s clients are treated fairly at all times.
4. To work as part of a team alongside the firm’s advisers and administrators to provide clients with a professional ongoing Financial Planning experience.
5. Once in receipt of a completed ‘factfind’, research and collate all the relevant quantitative detailed information required to compile a financial services report.
6. Check all paperwork / information is available to ensure that the client file meets the FCA’s rules and requirements.
7. Discuss the client’s needs and objectives with the relevant adviser.
8. Undertake research to identify suitable solutions to meet the client’s needs and objectives.
9. Where applicable, liaise with product providers and the client’s legal and tax advisers.
10. Prepare information and draft recommendation report and discuss with the relevant adviser.
11. Prepare suitability reports in accordance with the agreed recommendations.
12. Complete application / proposal forms and ensure all compliance paperwork is in order.
13. Implement the chosen / agreed investment strategies.
14. If required, organise and attend client meetings with adviser.
15. Review investment portfolio, asset allocation, risk profile etc.
Critical Skills
16. Excellent inter-personal skills, both written and verbal
17. Excellent report writing skills.
18. Good communication skills (written and verbal).
19. Accurate with good attention to detail.
20. Time management and ability to prioritise own work load.
21. Good team working and liaison skills.
22. Accuracy or work and attention to detail.
Critical Knowledge
23. Detailed knowledge of the FCA’s regulations and guidelines.
24. Detailed knowledge of the FCA’s and the firm’s record keeping requirements.
25. Broad knowledge of the financial services sector.
26. High level of technical knowledge.
27. Thorough knowledge of product research and analytical tools.