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- Tasks: Support Financial Advisers by reviewing client documents and compiling tailored suitability reports.
- Company: Join Ascot Lloyd, a leading FCA-regulated financial services firm committed to client satisfaction.
- Benefits: Enjoy a collaborative work environment with opportunities for professional growth and development.
- Why this job: Be part of a proactive team that values integrity and delivers exceptional client outcomes.
- Qualifications: Financial Planning Diploma or equivalent; experience in paraplanning and proficiency in research tools required.
- Other info: Work within a culture of personal responsibility and adherence to regulatory standards.
The predicted salary is between 36000 - 60000 £ per year.
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:
- Pension research: Selectapension where applicable (Safeguarded Benefits)
- Fund and portfolio research where applicable: FE Analytics
- Protection: Iress/Exchange
- Annuity research: Iress/Exchange
- Cash Flow research: Voyant/FinCalc
- Risk Prfoiler: 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 solutions
- Discretionary Fund Managers
- Model 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
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Paraplanner - Bristol employer: Ascot Lloyd group
Contact Detail:
Ascot Lloyd group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Paraplanner - Bristol
✨Tip Number 1
Familiarise yourself with the specific software tools mentioned in the job description, such as Pensin and FE Analytics. Having hands-on experience or even completing online tutorials can give you a significant edge during interviews.
✨Tip Number 2
Understand the principles of Treating Customers Fairly (TCF) and Consumer Duty rules. Being able to discuss how these principles apply to your work will demonstrate your commitment to client service and compliance.
✨Tip Number 3
Network with current paraplanners or financial advisers in the industry. Engaging in conversations about their experiences can provide valuable insights and may even lead to referrals for the position.
✨Tip Number 4
Prepare to discuss your approach to managing workloads and prioritising tasks. Given the emphasis on meeting deadlines in the role, showcasing your organisational skills will be crucial during the interview process.
We think you need these skills to ace Paraplanner - Bristol
Some tips for your application 🫡
Understand the Role: Before applying, make sure to thoroughly read the job description for the Paraplanner position. Understand the key responsibilities and required skills, as this will help you tailor your application to highlight relevant experiences.
Tailor Your CV: Customise your CV to reflect the specific skills and experiences that align with the role. Emphasise your qualifications, such as the Financial Planning Diploma, and any relevant paraplanning experience or proficiency in research tools mentioned in the job description.
Craft a Compelling Cover Letter: Write a cover letter that not only introduces yourself but also explains why you are a great fit for the Paraplanner role. Mention your understanding of Treating Customers Fairly (TCF) and how your skills can contribute to the company's values and client service delivery.
Proofread Your Application: Before submitting your application, carefully proofread all documents for spelling and grammatical errors. Attention to detail is crucial in this role, so ensure your application reflects that quality.
How to prepare for a job interview at Ascot Lloyd group
✨Know Your Stuff
Make sure you have a solid understanding of financial planning concepts and the specific tools mentioned in the job description, like Pensin and FE Analytics. Brush up on your knowledge of TCF and SM&CR regulations, as these are crucial for the role.
✨Showcase Your Experience
Prepare to discuss your previous paraplanning experience in detail. Be ready to share examples of how you've successfully supported Financial Advisers and managed client expectations, highlighting your attention to detail and workload management skills.
✨Ask Insightful Questions
Demonstrate your interest in the role by asking thoughtful questions about the company's approach to client service delivery and how they ensure compliance with regulations. This shows that you're proactive and genuinely interested in their processes.
✨Communicate Clearly
Since excellent written and verbal communication skills are essential, practice articulating your thoughts clearly and concisely. You might even want to prepare a brief presentation or summary of a suitability report to showcase your ability to personalise reports effectively.
