Purpose of role Reporting to Client Services and Operations Manager, to provide paraplanning support, ensuring the highest possible standard of client service delivery that is consistent, compliant and provided proactively in line with the Ascot Lloyd values as well as being mindful of Treating Customers Fairly (TCF) and Consumer Duty rules at all times. Working closely with Financial Advisers and IFA Administrators to support the clients’ advisory process, playing a key role in providing an all-important, quality, sales support function through the effective use of software, as well as following set processes and procedures. Key Responsibilities Review fact finds, file notes, client risk profile questionnaires etc. as provided by the Financial Advisers to gain an understanding of the client requirements discussed and agreed. Undertake necessary research and analysis, including Fund research and analysis Compile Pre-meeting documents Risk Profile cleanse when applicable Product comparison and analysis Charges analysis Investigation of taxation implications (IHT, CGT, LTA, CEG etc.) Compile suitability reports, detailing the recommended advice to suit the client’s needs. Discuss the reports with the Financial Adviser, amending as necessary. Generate and submit case packs to the Tax team and Compliance team as necessary and undertake any SR remedial work post check. Instruct the IFA Administrator to proceed with preparation of client packs. Record, monitor and report on progress via Intelligent Office Work within agreed timescales Report any obstacles and deviations from the agreed timescales to the Financial Adviser and IFA Administrator so that client expectations are appropriately managed. Ensure that potential service delivery failures are brought to the attention of the CS&O Manager in a timely manner, that resolution is swift and process revisions are agreed to avoid repeat errors. Support the Treating Customers Fairly (TCF) initiative. SM&CR Responsibilities As an FCA regulated Company, Ascot Lloyd are required to adhere to the Senior Managers and Certification Regime (SM&CR), to develop a culture where employees take personal responsibility for their own actions. Individual Conduct Rules You must act with integrity You must act with due care, skill and diligence You must be open and co-operative with the FCA, PRA and other regulators You must pay due regard to the interests of customers and treat them fairly You must observe proper standards of market conduct You must act to deliver good outcomes for clients Experience / Skills Required Financial Planning Diploma qualified (or equivalent professional qualification) Demonstrable experience in an end-to-end paraplanning role Demonstrable knowledge of and proficiency in research tools, ideally to include at least some of the following: Pensin research: Selectapension where applicable (Safeguarded Benefits) Fund and prtfolio research where applicable: FE Analytics Protection: Iress/Exchange / Annuity research: Iress/Exchange / Cash Flw research: Voyant/FinCalc Risk Prfiler: Distribution Technology (Dynamic Planner) Experience of, or understanding of and a willingness to work with a centralised investment proposition including: Single fund multi-asset/multi-manager slutions Discretinary Fund Managers Mdel Portfolios Proven ability to work with templated suitability reports the ability to include additional bespoke explanations/discussions in order to personalise suitability reports outside of the standard wording set by Ascot Lloyd Ability to prioritise and juggle workload Excellent communications skill; both written and verbal Excellent attention to detail Client confidentiality Knowledge of MS Office software applications Adherence to policies and procedures