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.
To provide high quality support to qualified Wealth Planning Advisers, including but not limited to:
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 advice
Providing 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”.
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’.