Role: To provide complete support to 2 Financial Advisers, in servicing clients and meeting regulatory/compliance standards and maintaining the high standards of operation within the practice.
Key outputs and responsibilities:
Accurate meeting prep
Prepare relevant forms and documentation including updated plan valuations and fact-find whether Follow Up/Presentation/Annual Review/Drawdown Review Accurate and timely and secure client servicing
Deal with incoming telephone call/email to clients' satisfaction following through to completion.
Use the internal systems to find client and supporting information to answer client queries.
Contact central Admin Centre to resolve and help answer client queries.
Prepare portfolio valuations as requested.
Produce Quotes (protection/annuity) when requested.
Process Withdrawal / Fund Switches as requested. Accurate business processing & maintaining database integrity
Prepare files including Wealth Planning Proposal; compliance documentation; research; illustrations; supporting documentation and client ID prior to sale.
Update client fact-find information to internal software for all transactions including Drawdown Reviews.
Draft recommendation/suitability letters for new business using templated software.
Process applications accurately and update the internal registers and systems.
Ensure that compliance files are complete post-sale with all required fact-find documentation added to internal software.
Keep client informed of progress/delay.
All client details updated in databases as soon as changes become known, in line with internal timescales. Progress Letters of Authority (LOA)
Send out LOAs to client/providers.
Chase client/providers to collect policy details to meet standard/service level timescales.
Scan & save Provider information as it arrives.
Ensure the client is kept up to date of progress weekly.
Keep Provider correspondence details up to date in Outlook. Proactive Pipeline Management
Progress applications through to issue in a timely manner updating internal registers and client transaction log once issued. Daily Practice Tasks / Office Management
Support the day-to-day business operations within the Practice.
Post Incoming, scan and file in client file and distribute to team - cover when PA is not in office.
Post Outgoing.
Meet and greet visitors to the office - cover when PA is not in office.
Answer phone and deal with enquiries/redirect calls.
Check Answerphone Messages - cover when PA is not in office.
Maintain cleanliness and organisation of the workplace including washing up, tidying and removing rubbish regularly.Person specification:
Knowledge and experience
Previous experience in an office support role, ideally in financial services or related sector.
Knowledge of relevant regulation and legislation (desirable).
Experience of client management systems (essential).
Experience of St. James's Place software systems and processes, e.g. Salesforce, Voyant, FE Analytics, Aptus (desirable).
Working towards Diploma in Regulated Financial Planning (desirable). Skills and behaviours
High level of numerical skills and accuracy.
Excellent face-to-face and telephone client interaction skills and ability to build rapport swiftly.
Broad experience of Microsoft Office (Outlook, Word, PowerPoint, Excel) (essential).
Good organisation skills and attention to detail.
Manages time effectively with the ability to multi-task.
Keep calm and maintain a positive attitude when faced with conflicting demands and handles these effectively.
Works well on own tasks as well as on shared goals as part of a team.Required Competencies:
Quality Focus: Takes personal responsibility for the quality and timeliness of work and achieves results with minimal supervision. Stays focused on tasks despite distractions and interruptions.
Teamwork: Promotes cooperation and commitment within a team to achieve goals and deliverables.
Embracing Change: Responds positively to change, embracing and using new practices or values to accomplish goals and solve problems.
Developing Self and Others: Demonstrates an ongoing commitment to learning and self-improvement.
Communicating Effectively: Understands and learns from what others say and conveys ideas and facts.
Planning and Organising: Manages own time, priorities, and resources to achieve goals.
Client Care: Builds and maintains a first-class experience for the client through the products and services offered by the business.Flexibility around working hours considered - minimum of 30 hours per week. Salary and benefits package is fully negotiable based on experience and qualifications