Brook Street Recruitment is working on behalf of our client in Lisburn to recruit a Financial Services Administrator / Entry level Paraplanner to join their team.
The candidate hired will be responsible to support the advisors giving the clients financial planning advice, ensuring the TCF principles are applied and that all internal procedures are being followed.
DUTIES
* Assist the advisors providing detailed client recommendations in those areas deemed less technical such as client reviews, protection & cash based investments with all supporting documentation as per the firms internal processes.
* Updating and recording of fund and product research for internal investment committee, as well as preparing and attending quarterly and adhoc investment committee meetings.
* Providing support to our firm's advisers in completing non-client facing tasks in relation to the preparation and administration of recommendations being made.
* Liaising with advisers as appropriate.
* Making sure any updates and reports are issued to clients in a timely manner.
* Preparing recommendations, including:
o Identifying and discussing areas with the adviser.
o Undertaking relevant research.
o Supporting the Firms investment Committee in agreeing high level preferred investment options for segments of the client base.
o Preparing documentation to be reviewed by the adviser.
o Preparing draft suitability reports.
* Implementing recommendations, including:
o Preparing suitability reports.
o Platform submissions.
o Client Withdrawals.
o Tracking investments through to completion & updating internal records accordingly.
* Preparing and maintaining client files, including:
o Collecting all relevant information to support any recommendations to be made.
o Making sure all relevant documentation held within a client file is compliant.
o Updating fund and product specific research.
o Preparing and attending quarterly and adhoc investment committee meetings.
CRITERIA
* Must have previous experience working in a Financial Services/Wealth Management company.
* Preference is given to those working towards a level 4 qualification.
* Good knowledge and understanding of the high-level standards expected by the FCA.
* Specific knowledge and understanding of the FCA's rules and guidance.
* Good understanding and knowledge/awareness of other relevant legislation such as: FCA money laundering section of the System and Controls Sourcebook (SYSC), Joint Money Laundering Steering Group (JMLSG) Guidance and other relevant financial crime legislation, including the Bribery Act.
Salary will depend on background - Circa £25-30K per annum.
Please send CV to Colleen Farquharson via the apply link.
Brook Street NMR is acting as an Employment Agency in relation to this vacancy.
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