My clients, a very reputable and well established financial planning practice based just twenty minutes east of Norwich are looking for an experienced Paraplanning Professional.
My client is a family orientated firm with a reputation for supporting and developing their staff as well as maintaining their happiness and well being.
Relevant skills and knowledge
• Level 4 Diploma qualified or working towards being
• Detailed knowledge and understanding of the firm’s compliance procedures including record keeping requirements
• Dealing with clients in a compliant manner as detailed within the firm’s compliance manual and procedures.
• Knowledge of industry software and tools such as Intelligent Office, DT, FE Analytics, Synaptic etc are desirable
• 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
• To provide support to our firm’s advisers in completing non-client facing tasks involved in preparing and administrating any recommendations being made to a client
• To ensure all client files are compliant on an ongoing basis
• Preparing and maintaining client files
o To collate all the quantitative detailed information required to support any recommendations to be made
o Liaise with administration to ensure all relevant paperwork held within a client file is present, relevant and compliant
o Discuss client objectives with the adviser
o Ensure all appropriate ‘know your client’ information has been obtained and can be demonstrated within the relevant client file
• Prepare recommendations
o Identify and discuss areas for planning with the adviser
o Undertake relevant research to identify suitable solutions to meet a client’s specific objectives
o Prepare relevant documentation and comparisons ready to be reviewed
o Prepare draft suitability reports to be discussed and signed. Ability to explain complex solutions clearly to produce comprehensive reports. Our product areas cover Investments (inc Wealth Management), Pensions, Protection and Inheritance Tax products
• Implement recommendations
o Prepare suitability reports in accordance with the agreed recommendation(s)
o Complete applications or proposal forms – shared with admin
o When instructed, make changes to a client’s investment portfolio – shared with admin
o Act as a main point of contact and deal effectively with client queries
o To arrange agreed client meetings with the client and adviser
o To prepare existing client files ready for reviews
o Ensure any updates and reports are issued to clients in a timely manner
o When instructed, review client investment portfolios, asset allocations, risk profile etc.
• Attain and maintain level of competence as required by the firm
• Maintain all standards of performance as required by the firm
• Ensure relevant CPD is maintained and recorded accurately
• Manage a sometimes busy workload to tight timescales
• If required, attend client meetings to support Financial Advisers, such as recording information on factfinds and explaining technical details.
My client provides support with R0 exams both financially and in terms of study support
25 days holiday + BH
9-5 Mon-Fri – some flexibility is provided allowing people to leave earlier on a Friday
Standard pension (auto enrol)
Part time hours will be considered