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Nelson Scott LLP
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Northwich, Cheshire
Paraplanner
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Job Type: Full-time |
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Salary: £35,000 per annum |
Overview
To support Advisers, and ultimately clients, in the advice giving process with suitability reports, product research and technical analysis. Key Responsibilities General Discuss client objectives with the Adviser during debrief. Identify any shortfalls in client information and discuss with the Adviser. Request and review all necessary information and undertake financial analysis to produce financial reports for discussion with the Adviser. Undertake research to identify suitable solutions to meet the client’s needs. Request and obtain information/comparisons for analysis by the Adviser within agreed timeframes. Consider current and future allocation of assets for investment strategy with regard to client risk profile. Check all compliance paperwork and internal sign off documents are present. Prepare draft recommendation reports to be discussed and signed off by the Adviser. Ensure any recommendations detailed in a report are in line with any internal guidance/procedures and the up to date report template is used. Request and obtain application forms and other associated paperwork. Submit paperwork when advice taken up in accordance with Company procedures. Ensure all paperwork is in order. Ensure appropriate data is accurately recorded on Company back-office system(s) and updated in line with Company procedures. On-going servicing of clients, for example withdrawals or fund switches. Ensure adherence to Department’s and Company procedures, including all Compliance guidelines, and Department’s Key Performance Indicators (KPIs)/objectives. Regulatory Responsibilities (Compliance / T&C) Understand, follow and demonstrate compliance with all relevant internal and external rules, regulations and procedures that apply to the conduct of the business. Follow principles and rules of the Financial Conduct Authority (FCA) and the internal requirements set out in the Compliance Manual, local and Group Compliance and Risk policies. Ability to demonstrate an understanding of the regulatory framework relevant to the role, whilst practising effective risk management taking account of outcomes for clients. About you Qualifications Minimum of Regulated Diploma in Financial Planning (CII) or Diploma in Financial Planning. To be level 4 qualified. Skills and Attributes Understanding of the Financial Planning process, including any Paraplanning department’s processes and procedures, and ensure that these are followed in all instances. Ability to work within defined business processes and to achieve agreed outcomes without supervision. Ability to multi-task and to prioritise and plan own workload. Strong IT skills. Good report writing and communication skills. A "can do" approach. It’s desirable to have strong IT skills in Word and Excel as well as in a range of in-house and 3rd party software tools, such as IO/AO/X-Plan, Financial Express Analytics, O&M Pension Profiler.