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- Tasks: Support financial advisers by providing top-notch paraplanning and client service.
- Company: Join Ascot Lloyd, a leading financial services firm in Glasgow.
- Benefits: Enjoy competitive pay, professional growth, and a supportive work environment.
- Why this job: Make a real difference in clients' financial journeys while developing your skills.
- Qualifications: Financial Planning Diploma or equivalent, with paraplanning experience preferred.
- Other info: Dynamic team culture focused on integrity and client satisfaction.
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 Profiler: 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 - Glasgow employer: Ascot Lloyd group
Contact Detail:
Ascot Lloyd group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Paraplanner - Glasgow
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial services industry, especially those who work at Ascot Lloyd or similar firms. A friendly chat can sometimes lead to job opportunities that aren't even advertised.
✨Tip Number 2
Prepare for interviews by practising common paraplanning questions. Think about how you can showcase your experience with research tools and client service delivery. We want you to shine, so rehearse your answers until they feel natural!
✨Tip Number 3
Don’t forget to follow up after interviews! A quick thank-you email can leave a lasting impression. It shows you're keen and professional, which aligns perfectly with the values of treating customers fairly.
✨Tip Number 4
Apply through our website for the best chance of landing that role! We love seeing applications directly from candidates who are genuinely interested in joining our team. Plus, it makes tracking your application easier for us!
We think you need these skills to ace Paraplanner - Glasgow
Some tips for your application 🫡
Tailor Your Application: Make sure to customise your CV and cover letter for the Paraplanner role. Highlight your experience in paraplanning and any relevant qualifications, like your Financial Planning Diploma. We want to see how your skills align with our values and the specific responsibilities outlined in the job description.
Showcase Your Skills: Don’t just list your skills; demonstrate them! Use examples from your past work to show how you’ve successfully conducted research, compiled reports, or supported financial advisers. This will help us see your practical experience in action.
Be Clear and Concise: When writing your application, keep it clear and to the point. Avoid jargon unless it’s relevant to the role. We appreciate straightforward communication, so make sure your application reflects that!
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, you’ll find all the details you need about the application process there!
How to prepare for a job interview at Ascot Lloyd group
✨Know Your Stuff
Make sure you brush up on your financial planning knowledge, especially around paraplanning processes and tools like Selectapension and FE Analytics. Being able to discuss these confidently will show that you're not just familiar with the role but also genuinely interested in it.
✨Showcase Your Attention to Detail
Since this role requires a keen eye for detail, prepare examples from your past work where your attention to detail made a difference. Whether it was catching an error in a report or ensuring compliance with regulations, these stories will highlight your suitability for the position.
✨Communicate Clearly
Practice articulating your thoughts clearly and concisely. You’ll need to demonstrate excellent communication skills, both written and verbal, so consider doing mock interviews with a friend or using online resources to refine your delivery.
✨Understand Client Needs
Familiarise yourself with the Treating Customers Fairly (TCF) initiative and be ready to discuss how you would ensure clients' needs are met. Think about how you can proactively support Financial Advisers and enhance client service delivery, as this will resonate well with the interviewers.
