Posted 26 February by Coast Specialist Recruitment Easy Apply


Hungerford, Berkshire


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.

General Responsibilities

  • 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

Specific Responsibilities

  • 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.

Reference: 33799278

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