Purpose of role
Reporting to the Client Services and Operations Manager, the role involves providing paraplanning support to ensure high standards of client service that are consistent, compliant, and proactive. The role also requires adherence to Ascot Lloyd values, Treating Customers Fairly (TCF), and Consumer Duty rules.
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
* Reviewing fact finds, file notes, client risk profile questionnaires, etc., to understand client requirements.
* Conducting research and analysis, including fund research, compiling pre-meeting documents, cleansing risk profiles, product comparison, charges analysis, and investigating taxation implications.
* Preparing suitability reports that detail recommended advice tailored to client needs.
* Discussing reports with Financial Advisers and making necessary amendments.
* Generating and submitting case packs to the Tax and Compliance teams and performing remedial work post-check.
* Instructing IFA Administrators to prepare client packs.
* Monitoring and reporting progress via Intelligent Office within set timescales.
* Reporting obstacles and deviations to manage client expectations effectively.
* Escalating potential service delivery failures to the CS&O Manager for swift resolution and process improvement.
* Supporting 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 market conduct standards
6. Deliver good outcomes for clients
Experience / Skills Required
* Financial Planning Diploma qualification or equivalent
* Experience in end-to-end paraplanning roles
* Proficiency in research tools such as Pensin, FE Analytics, Iress/Exchange, Voyant/FinCalc, and Distribution Technology (Dynamic Planner)
* Understanding of and willingness to work with centralized investment propositions, including multi-asset/multi-manager solutions, Discretionary Fund Managers, and Model Portfolios
* Experience with templated suitability reports and ability to personalize reports beyond standard wording
* Strong prioritization 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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