Our client is a leading financial services, investment business offering a range of services to it's clients. They are currently looking to expand their team due to continued growth.
Discuss client objectives with the Adviser during debrief. Identify any shortfalls in client information and discuss with the Adviser
Request and review all necessary information and undertake financial analysis to produce financial reports for discussion with the Adviser. Undertake research to identify suitable solutions to meet the client's needs. Request and obtain information/comparisons for analysis by the Adviser. Consider current and future allocation of assets for investment strategy with regard to client risk profile.
Check all compliance paperwork and internal sign off documents are present.
Prepare draft recommendation reports to be discussed and signed off by the Adviser. Ensure any recommendations detailed in a report are in line with any internal guidance/procedures.
Request and obtain application forms and other associated paperwork.
Submit paperwork when advice taken up in accordance with Company procedures. Ensure all paperwork is in order.
Ensure appropriate data is accurately recorded on Company back-office system(s) and updated in line with Company procedures.
Undertake annual reviews, where appropriate.
On-going servicing of clients as and when required.
Understand, follow and demonstrate compliance with all relevant internal and external rules, regulations and procedures that apply to the conduct of the business. Follow principles and rules of the Financial Conduct
Regulated Diploma in Financial Planning (CII) - Level 4 or Diploma in Financial Planning