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IFA Administrator

Posted 9 March by viewfinancial Easy Apply Ended

This role is to provide Administration Support to Financial Planners. There is a career path on offer to take qualifications and ultimately become a technical expert, or move into a variety of roles within the business.
The key aspect to your application will have proven relevant experience within a similar role in wealth management.

Specific tasks and responsibilities:

• Comply with the company’s statement of core values and business practices and with the CII code of ethics at all times
• Deal with Incoming/Outgoing post
• Check sufficient documentary evidence is on file to support the advice (if not, refer back to adviser)
• Scan fact find and risk questionnaire and save behind the client on the back office system
• Obtain valuations
• Prepare comparisons
• Obtain relevant fund fact sheets, key features documents and illustrations to accompany reports
• Ensure valuations are sufficient to enable research to be conducted and obtain any additional information that may be required
• Prepare packs of paperwork for advisers to complete client visits
• Process letters of authority
• Process new business, switches and surrenders (on day received)
• Input fees into back office system when adding new business
• Check policy documents for accuracy before sending to clients
• Maintain organised and compliant client file records
• File telephone/meeting notes, client letters/emails and reports and where applicable, the client file
• Ensure data held on company software is correct and up to date at all times
• Weekly check to ensure advisers’ diaries on Outlook are up to date
• Liaise with clients by phone/email/letter to deal with queries, arrange meetings etc (non-advice only)
• Maintain a review system and produce monthly lists of clients for advisers/appointed person to contact
• Generate client lists for mailshots etc
• Produce draft financial reports, suitability reports and letters for discussion with/sign-off by advisers
• Submit draft reports for pre-approval, where required
• Finalise reports/letters, proof read and present to adviser for signature (as a report with covering letter or on letterhead, as appropriate)
• Pass signed report/letter and accompanying documents (either bound with the report/letter or, if bulky, as a separate appendix) to the adviser for delivery to the client
• Obtain all relevant forms (application, switch, discharge etc) for sign-off by advisers
• Deal with client enquiries (non-advice only)
• Keep all templates/standard wording up-to-date, obtaining compliance sign-off where appropriate
• Share knowledge with other PA’s and advisers
• Attend Product Provider meetings as necessary
• Attain a good working knowledge of the company’s compliance guidelines and ensure all tasks performed/work produced fall within these guidelines at all times
• Assist compliance with any queries on reports/files
• Report regularly to the Office Manager to ensure business performance is maintained/compliant and any issues are addressed
• Such other tasks as may be considered appropriate/necessary by management, as are within your skill and competence

Key skills and experience:

• Excellent IT skills and good working knowledge of both provider and research software/websites
• Excellent report writing and clear written communication skills
• Strong analytical and research skills
• Attention to detail and accuracy
• Effective time and caseload management
• Knowledge of the financial services industry, financial investments/products, the financial planning process and compliance requirements
• Able to work both independently and as part of a team
• Professional, ethical and discreet
• Commitment to continuing professional development

Essential professional qualifications:

• Working towards the diploma in Financial Planning


• Take part in any training offered by the company as deemed necessary/relevant to your role or your own personal development for the benefit of the role

Reference: 34647530

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