Purpose of role
Reporting to the Client Services and Operations Manager, the role involves providing paraplanning support to ensure high standards of client service delivery that are consistent, compliant, and proactive. The role requires adherence to Ascot Lloyd values, Treating Customers Fairly (TCF), and Consumer Duty rules at all times.
Working closely with Financial Advisers and IFA Administrators, the role supports the clients' advisory process by utilizing software effectively and following established processes and procedures.
Key Responsibilities
* Review fact finds, file notes, client risk profile questionnaires, etc., provided by Financial Advisers to understand client requirements.
* Conduct research and analysis, including fund research, compiling pre-meeting documents, cleansing risk profiles, product comparison, charges analysis, and investigating taxation implications (IHT, CGT, LTA, CEG, etc.).
* Prepare suitability reports detailing recommended advice tailored to client needs.
* Discuss reports with Financial Advisers, making amendments as necessary.
* Generate and submit case packs to the Tax and Compliance teams, and perform any remedial work post-check.
* Instruct IFA Administrators to prepare client packs.
* Monitor and report progress via Intelligent Office.
* Work within set timescales, reporting any obstacles or deviations to manage client expectations effectively.
* Highlight potential service delivery issues to the CS&O Manager promptly, ensuring swift resolution and process improvements.
* Support the Treating Customers Fairly (TCF) initiative.
SM&CR Responsibilities
As an FCA-regulated company, Ascot Lloyd complies with the Senior Managers and Certification Regime (SM&CR), fostering a culture of personal responsibility.
Individual Conduct Rules
1. Act with integrity
2. Act with due care, skill, and diligence
3. Be open and cooperative with regulators
4. Pay regard to customer interests and treat them fairly
5. Observe proper standards of market conduct
6. Act to deliver good outcomes for clients
Experience / Skills Required
* Financial Planning Diploma qualified (or equivalent)
* Experience in end-to-end paraplanning roles
* Proficiency with research tools such as Selectapension, FE Analytics, Iress/Exchange, Voyant/FinCalc, Distribution Technology (Dynamic Planner)
* Experience or understanding of centralized investment propositions, including multi-asset/multi-manager solutions, Discretionary Fund Managers, Model Portfolios
* Ability to work with templated suitability reports and personalise them as needed
* Strong prioritisation and workload management skills
* Excellent written and verbal communication skills
* High attention to detail and client confidentiality
* Proficiency in MS Office applications
* Adherence to policies and procedures
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