The role holder candidate will work as part of the Paraplanning team supporting qualified wealth planning advisors in the delivery of the highest levels of client experience.
This is a 1st line of defence role.
Key accountabilities:
- To provide high quality support to qualified Wealth Planning Advisers, including but not limited to:
- Technical research
- Report writing and drafting advice letters
- Keeping client affairs “under review”
- Managing client expectations
- To deliver compliant and client-friendly letters/reports within agreed and acceptable timescales.
- To prepare file documentation prior to account opening.
- To ensure all duties are carried out in accordance with best practice, internal compliance, Training and Competence, complaints procedures and the requirements of relevant legislation and any other relevant procedures
- To provide support in responding to client queries
- Liaising with the relevant internal administration teams and external parties
- To maintain proactive dialogue with clients, as directed.
- To ensure that clients are treated fairly by :
- Knowing your client and giving suitable adviceProviding an appropriate level of service
- Communicating clearly and fairly
- To develop own professional expertise through on the job training, formal training and, where appropriate, professional qualifications.
- Carry out any other duty as may reasonably be required.
Knowledge and Experience:
- Good broad experience of wealth planning legislation across the board, inducing pensions and financial planning.
- CII Diploma Level qualified preferred.
- Experience with dealing with HNW clients.
- Experience of supporting a number of advisors, rather than on a 121 basis.
- Understands Risk within context of the role and meets the regulatory obligations, as applicable.
Attributes and Qualities:
- Excellent team working skills. Supports and encourages others to generate a positive working culture, sharing information cross-functions.
- High accuracy and attention to detail.
- Well organised and efficient.
- Takes a solution oriented approach and challenges the way we do things: “see it, say it, fix it”.
Technical Skills:
- Expert Knowledge of using Intelligent Office and knowledge of G2 where necessary
- Act as true first line of defence for clients and Quintet through proactive risk management.
- This is a ‘client facing’ position that is subject to the ‘individual conduct rules’ requirements and the firm’s relevant role specific guidance for ‘information givers’.
