Aims and purpose of the job
To assist with the effective operation of the David Allen Financial Services Team by ensuring compliance work is produced in a timely manner at all times, thereby ensuring an accurate, trustworthy, quality service to the client.
To provide an efficient and effective support service to the Independent Financial Advisers.
To support the whole team in moving the company forward in business development and the implementation of innovative ideas.
Duties to include:
1. To carry out general tasks to support all Independent Financial Advisers as and when required.
2. To arrange client review meetings and prepare documentation required for meetings.
3. To communicate with clients, providers and fee earners within the business regarding queries that arise.
4. To assist the wider support team where appropriate as and when requested.
5. To assist all department administration including incoming and outgoing post, sorting and filing of all correspondence in the back-office system, Xplan.
6. To write review reports *(examples below) and collate compliance files to company standards. To ensure all work is produced to the highest standard in accordance with our compliance provider and the Financial Conduct Authority.
• Review files with no changes*
• Review files with bed and ISAs*
• Review files with fund switches*
7. To write new business reports and collate compliance files to company standards.
To ensure all work is produced to the highest standard in accordance with our compliance provider and the Financial Conduct Authority.
8. To ‘submit business’ where required – review new business cases, following internal processes at all times and ensuring Xplan is kept up to date.
9. To deal with all clients, provider and internal communications in a timely manner to ensure all are of a high professional standard.
10. To ensure all clients are looked after and receive the highest level of service.
11. To continually look for ways to improve and develop the department and improve efficiencies.
12. To assist with training staff as and when required.
13. To maintain technical knowledge relating to products and services, developed through CPD and professional qualifications, as well as ongoing internal training within the team.
Central duties
14. To represent the business when required to ensure positive links, relations and networks.
15. To show a commitment to diversity, equal opportunities and anti-discriminatory practices.
16. To undertake personal development necessary to ensure effective performance in the role.
17. To participate in relevant and appropriate training and development as required.
18. To demonstrate the David Allen values of ambition, professionalism, knowledge, integrity, and respect in the work you do and during your appointment.
Education / Qualifications
GCSE or equivalent at grade A-C (9-4) to include English and Maths.
Level 3 certificate in Financial Services or equivalent.
Level 4 diploma in financial planning or equivalent or be working towards this.
Skills/ Knowledge/ Experience
Minimum 3-5 years experience in a Financial Planning Assistant, Client Support or similar role within an IFA or Independent Wealth Management firm.
Experience handing client documentation, record keeping and own workflow management, within a regulated environment.
Be able to evidence up to date technical knowledge in financial planning services and compliance requirements.
Advanced competency levels in Excel, Word, Outlook.
Be able and willing to take the initiative and take responsibility for own workflow and prioritisation.
Experience of working in a team, with strong team contribution ethic and experience of working to support other team members and follow their instructions.
Ability to compliantly prepare new business and review documentation on behalf of IFA, inline with FCA standards.
Experience providing a high quality, client-based service.
Excellent written and verbal communication skills, with strong attention to branding, house styles, and grammar.
Strong understanding of the end-to-end financial advice process within a directly authorised firm.
Excellent time management skills, with experience in managing own work schedule and that of senior team members who have a demanding workload.
Excellent attention to detail with a consistently high level of accuracy.
Strong organisational skills and ability to manage multiple cases and deadlines
Experience dealing with internal firm compliance within a directly authorised IFA firm.
Personal Behaviours & Qualities
Ability to work effectively under tight deadlines or a large workload.
Ability to work under own initiative.
Flexible with willingness to occasionally adapt working hours to fit with peaks of business. Be able to demonstrate a professional and committed work ethic with high personal standards to completion of work.
Ability to respond to challenges in a calm manner. Evidence of taking full responsibility for all work and tasks assigned to you.
Willingness to build on personal technical knowledge and to take professional exams when required.
Ability to demonstrate behaviours and expectations consistent with the David Allen values of ambition, professionalism, knowledge, integrity, and respect.
General
Ability to travel independently between offices if required.
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