Job Purpose:
This role is categorised as a first “Line of Defence” role, i.e. a role that owns, manages and is accountable for identifying, assessing, controlling and mitigating risks in the employee’s area of the business.
Key Areas of Responsibility include:
1. Using Intelligent Office to record client information
2. Ensuring tasks are added, updated and monitored on IO
3. Preparing pre meeting packs for new clients
4. Preparing client engagement letters with Financial Planners
5. Working with Financial Planner’s to facilitate an complete Annual Reviews
6. Submitting and processing new business
7. Taking phone calls where necessary for either clients or third-party providers
8. Assist clients where needed
9. Processing platform work which will include – submitting new business, cash management and fund switches
10. Adding client remuneration expectations to IO and generating invoices if appropriate
11. Using various provider websites to obtain product information and valuations
12. Liaise with life offices where appropriate
13. Liaising with IMS where appropriate
14. Submitting Letters of Authority to Life Offices, and information gathering
15. Completing AML for clients by recording client ID and processing ID3 Global AML check
16. Deal with daily post - ensure it is scanned and saved to client records where appropriate
17. Client Valuations from IO and Figaro
18. Keeping FP up to date with cases in pipeline or being processed
19. Liaising with Paraplanning/review team to ensure the timely production of client reports and reviews
20. Dealing with Trusts and Death Claims
Line of defence:
21. This role is categorised as a first “Line of Defence” role, i.e. a role that owns, manages and is accountable for identifying, assessing, controlling and mitigating risks in the employee’s area of the business.
Money Laundering Reporting Responsibilities
To promote awareness of Anti-Money Laundering Rules and to ensure compliance within the Department
Experience
22. Experience of customer service and general office duties
23. At least 1-4 years in Financial Planning Support or 1 or more years as trainee FP Assistant
Knowledge and Skills
24. Customer Service skills
25. Good communication skills – written and oral
26. Good attention to detail
27. Well planned and organised
Demonstrate the company’s values
28. Caring. We will strive to earn and maintain the trust of our staff, clients and the wider community by promoting what is in their long-term interests.
29. Fair. We will always act with integrity in a transparent, respectful and professional manner.
30. Progressive. We will combine an innovative culture with a traditional personalised service.