My client who is a very established and successful IFA is now looking fro a senior support executive to joined there friendly team.
The Purpose of the role is To provide administrative support, Investment research and Suitability report drafting to the advisers within the firm.
Skills and knowledge
- Good written and oral communication skills.
- Good report writing skills.
- Good methodical and organisational skills.
- Computer literacy and good typing skills.
- Accurate with good attention to detail.
- Ready to ask questions to ensure responses received are accurate
- Minimum Level of FCA recognised qualifications (e.g. FPC 1,2 & 3, RO papers etc.)
- Detailed knowledge of the FCA’s and the firm’s record keeping requirements.
- High level of knowledge of the financial services sector.
- Knowledge of the following software packages: Microsoft Outlook, Excel, Word,
- Experience of IFA software such as Dynamic Planner, Selecta Pension (or equivalent) and Platforms.
- Comply at all times with the firm’s Compliance; Training & Competence; Complaints and Data Security policies / procedures.
- To ensure that the firm’s clients are treated fairly at all times.
- To provide a Lead role as part of a team alongside the firm’s advisers to provide clients with a professional ongoing financial planning experience.
- Attend training and to develop relevant knowledge and skills and to share this knowledge with the rest of the Adviser Support team.
- To deal with telephone / email enquirie
- Lead daily morning Adviser Support meetings to allocate work as appropriate
- Carry out Letter of Authority Case Tracking on a daily basis on your own cases to ensure information is received back from providers timely and accurately.
- Update and investigate information received from clients/providers on existing plans.
- Update Client Assyst with this information as appropriate to ensure factfind is accurate
- Carry out Risk Profiling analysis in Dynamic Planner with completed questionnaires received from clients.
- Compare risk profile with existing investments and provide this information to the adviser with latest factsheets on existing funds.
- Use appropriate research tools to provide advisers with all information required to enable advice to be given.
- Ensure client files are compliant using folder checklists.
- Create and maintain filing systems / client files.
- Take ownership of sending files to Bankhall for compliance checking, monitoring and investigating feedback received
- Identify any training issues from this feedback and report this to the Partners of the firm
- Liaising with product providers as and when necessary.
- Drafting Pension and Investment suitability reports for the Adviser
- To attend meetings as and when required.
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