The Wealth Management Administrator provides full support to one or more Financial Planners, Paraplanner and Investment Managers ensuring client satisfaction through direct contact with clients, while adhering to regulatory standards.
General administration duties to support the Financial Planning team as a whole
Liaise with Financial Planning Admin and SIPP Admin Teams in Leeds as necessary together with external providers.
Ensure compliance with regulatory and organisational requirements and procedures at all times
- Carry out full range of administrative duties at the request of Financial Planners or Paraplanners or using own initiative.
- Provide assistance with Third Party SIPP Annual Reviews.
- Set-up new clients on the systems, following internal processes.
- Production of "Letters of Authority" (LOAs) to be issued to clients for signature.
- Liaising daily with the Leeds FP Admin team, including completing the necessary forms, chasing updates, maintaining a diary system, checking LOA information when returned and compiling summary schedules as required.
- Producing Exchange and provider illustrations.
- Obtaining information from external providers.
- Diary and task management for Financial Planners and Paraplanners, primarily with regard to processing LOAs, new business and cash movements.
- Providing Financial Planners and Paraplanners with updates on an ad-hoc basis as and when required.
- New business processing via the Leeds and Liverpool Administration Departments, including scanning documents to the client management systems.
- Covering telephones as and when required
- Dealing with basic client queries
- Producing annual review requests and drafting annual review letters
Skills and Qualifications:
They are looking for someone who is hard working and efficient with an ability to manage time well. They should be presentable, with a good attitude and pleasant demeanour. High attention to detail and the ability to communicate at all levels are important, as is flexibility and being a team player.
- Good working knowledge of Microsoft Office Word, Excel and Outlook skills and Adviser Office would be advantageous
- Progression with the Certificate in Financial Planning (CF1-5) is desirable