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.