This role could suit an experienced IFA administrator looking to progress into a Paraplanning role
- Support to the Firm’s Financial Planners.
- To provide the product and provider research for advisers by researching the market using the appropriate tools and following the Firm’s Investment Process.
- To prepare client suitability reports in a compliant and timely manner and to demonstrate an understanding of current legislation in said reports. This will include tax, pension and trust, to name but a few.
Relevant Skills and Knowledge
- The requisite knowledge for the role being undertaken.
- Be working to/maintain the basic technical knowledge and qualifications.
- Detailed knowledge and understanding of the firm’s compliance procedures including record keeping requirements.
- Understanding of the provision of advice to clients in a compliant manner as detailed in the firm’s Business Manual and procedures.
- Comply with the Financial Services and Markets Act 2000 and the relevant FCA rules at all times.
- Comply with the relevant compliance, TCF, T&C, and financial crime (anti-money laundering, data security, anti-bribery, fraud and corruption) procedures of the firm at all times
- Keep up to date with all relevant product, legislative and technical changes, as required.
- Follow appropriate ethical standards within the firm at all times.
- Ensure an appropriate compliance culture is maintained at all times
- Ensure appropriate ethical standards exist within the Firm
- Ensure all dealings with customers are carried out in a professional and courteous manner.
- Undertake sufficient product and market research.
- Undertake specialist research when required.
- Ensure all supporting documentation is maintained as per company procedures.
- To attend client meetings with advisers when requested.
- To adhere to templates as set out by threesixty services, the firm’s compliance support company, for all relevant reports.
- Understand a client’s needs by working with the advisers and liaising with the client
- Maintain all standards of performance as required by the firm.
- Ensure relevant CPD is maintained and recorded accurately.