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You want to be at a growth firm where you are recognised for what you personally bring to the table. This is a great opportunity to work in a positive team that is welcomed by the business in helping us achieve client excellence (that's right we value the Quality team!) About the role Undertake file reviews to ensure the business is providing the highest standards of advice to our clients in line with internal policies and FCA requirements. You will add value in helping us live to our client centric values. Working in a small team environment you are expected to make an impact and engage with stakeholders in the business and Compliance in supporting the development of advice quality. Accountabilities Provide quality assurance over the advice provided by the Financial Planners. Conduct suitability assessments across a range of different product types (e.g. Pensions, Investments, High Risk products). Review and grade the quality of client files across all product areas and provide concise feedback in a timely manner. Support Financial Planners improving the quality of advice and providing assurance to the firm we are best in class. Communicate and/or escalate remedial work to Planners and raise training needs to the T&C Team. Prevent foreseeable harm to clients in line with the requirements of Consumer Duty. Work with the Advice Quality team to drive a consistent level of advice quality. Ensure you complete any reporting requirements in a timely manner to support the business in overseeing and assuring the quality of the advice given. Involvement in ad-hoc project work or process improvements (we love people who bring ideas to the table). Skills and Experience RQF Level 4 in Financial Services (bonus points if you are chartered). Prior experience performing a similar quality/file reviewing role. Working within a Restricted Wealth Management firm with involvement in communicating regulatory change and internal processes or compliance monitoring. Experience working with a CRM (ours is XPLAN, all training provided). CII Award in Regulated Pension Transfer Advice or working towards is preferred. Equity Release and Long Term Care exams are desirable. Product knowledge across all advice areas Knowledge of regulations applying to advisory businesses (e.g. Consumer Duty) Experience checking cases or compliance monitoring is preferred. A believer that feedback assists improvements and protects our clients. Comfortable working independently, but like having a close team that supports each other in delivery. Comfortable with Excel and tech literate (we use a decent suite of cloud based drives etc...). Expert attention to detail. Benefits Pension - 6% employer and 3% employee 25 days holiday plus bank holidays Private medical insurance 4 x Life Assurance Group income protection Working anywhere for up to 4 weeks The above is a guide and not exhaustive. We work in an agile way and you might be involved in lots of different tasks or projects whilst working for us.
Financial Planning Administrator Are you looking for a career rather than just a job? Do you want to be valued for what you do? Do you have experience working in a Wealth Management or Financial planning environment? This is an excellent opportunity to work in a friendly team in a growth business where you can make a real difference. About the Position Working in our Manchester hub you will have lots of contact with our advisers supporting them in their needs, and handling client calls where needed, making this a valued role. You will be responsible for every aspect from diary management and admin support through to case management and client relationships. This is a hands on role, with a team that care about your progress. We have the benefit of a small friendly local office, but also part of a larger up and coming UK-wide brand. Our clients are a diverse group of successful professionals, entrepreneurs, and retirees who entrust us with their savings, investments, and pensions. We commit to providing them with comprehensive financial advice, both in-person and digitally, to align with their goals, needs, and plans for the future. What you will do Liaise with 3rd party providers for policy details and obtaining policy illustrations. Process new business applications. Co-ordinate financial planner's diaries and arranging client meetings. Prepare documentation for client appointments and meetings, including the production of annual planning meeting packs. Respond to email enquiries and liaising directly with clients. Send prepared information and reports to clients. Ensure all data entry is completed accurately and within specified timelines. Responsibilities Collaborating with team members to refine financial planning processes and strategies. Contributing to the development and upkeep of our digital platforms. Supporting Financial Planners and clients with technical and financial planning enquiries. Producing accurate and detailed financial planning documentation through the use of our bespoke version of XPLAN. Skills and Experience Experience in a Wealth Management, Financial Planning or IFA firm. Previously used a CRM (we use XPLAN) and comfortable delivering via our systems. Intermediate Excel skills - V:lookups, Pivot tables. Good communication skills, comfortable with numbers, and highly organised. Capable of fact finding and analytical thinking. A desire to do a great job! Love being part of a team and doing work that matters. Reference: 2891