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Job Specification

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    Financial Services



    To work alongside Financial Planners taking responsibility for the preparation and maintenance of client files, the preparation and implementation of recommendations of Financial Plans (including cash flow forecasts) and the ongoing reviews of client affairs. To Keep up to date with technical issues and undertake necessary research.


    Responsibilities and Accountabilities


    Preparation and maintenance of client files

    •      Ensure completeness of client file/data gathering

    •      Confirm risk profile is determined and updated

    •      Check all compliance paperwork is present and up to date.

    Preparation of recommendations

    •      Identify and obtain information necessary to compile clients’ recommendations/cash flow forecast.

    •      Compile draft net worth statement, income and expenditure statements and financial cash flow forecast for review by Financial Planner.

    •      Identify areas for planning.

    •      Carry out technical calculations.

    •      Undertake research both independently and with Financial Planner to identify suitable solutions to meet the clients’ needs.

    •      Prepare information/comparisons for analysis by Financial Planner

    •      Liaise with clients’ legal and tax advisers (if required)

    •      Consider current and future asset allocation for investment strategy with regard to the client risk profile and lifetime cash flow.

    •      Produce clear, technically accurate, compliant and concise Financial Plans and Suitability Reports as per Advice Process.

    •      Assimilate technical information into an understandable format for clients.

    Implementation of recommendations

    •      Make changes to clients’ investments as instructed.

    •      Ensure agreed action points are implemented.

    •      Liaise with administration team to process recommendations as per Advice Process

    Preparation of reviews

    •      Prepare and coordinate review documentation including, financial planning and portfolio review as per the Annual Review Process.

    •      Review investment portfolio, asset allocation, risk profile etc.

    •      Carry out technical calculations.

    •      Implement agreed actions post review. • Attend client meetings as required.

    •      Make sure all templates used for reports are compliant and updated when required.


    Personal Specification


    •      Interpersonal skills to develop and maintain client trust and inspire confidence.

    •      Highly organised, methodical and disciplined.

    •      Shows initiative and takes personal responsibility for completing tasks.

    •      Able to work under pressure on occasions to achieve deadlines.

    •      Seeks to deliver exemplary levels of customer service and empathy.

    •      Attention to detail.

    •      Ability to achieve agreed outcomes without supervision.

    •      Excellent communication skills over all media.

    •      Prioritises tasks to meet deadlines, is flexible and adaptable.

    •      Computer literate


    Salary £35,000 - £50,000

    Equity Partnership Programme

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