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- Tasks: Support financial advisers by conducting research and preparing 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 team that values integrity and customer fairness while making a real impact.
- Qualifications: Financial Planning Diploma or equivalent; experience in paraplanning and proficiency in research tools required.
- Other info: Work closely with experienced professionals and enhance your skills in a supportive setting.
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:
- Pensin research: Selectapension where applicable (Safeguarded Benefits)
- Fund and prtfolio research where applicable: FE Analytics
- Protection: Iress/Exchange
- Annuity research: Iress/Exchange
- Cash Flw research: Voyant/FinCalc
- Risk Prfiler: 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 slutions
- Discretinary Fund Managers
- Mdel 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 - Worthing employer: Ascot Lloyd group
Contact Detail:
Ascot Lloyd group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Paraplanner - Worthing
✨Tip Number 1
Familiarise yourself with the specific software tools mentioned in the job description, such as Intelligent Office and research platforms like FE Analytics. Being able to demonstrate your proficiency in these tools during an interview can set you apart from other candidates.
✨Tip Number 2
Understand the principles of Treating Customers Fairly (TCF) and Consumer Duty rules. Be prepared to discuss how you would apply these principles in your role as a Paraplanner, showcasing your commitment to client service and compliance.
✨Tip Number 3
Network with professionals in the financial planning industry, especially those who work as Paraplanners or Financial Advisers. Engaging with them can provide insights into the role and may even lead to referrals or recommendations for the position at StudySmarter.
✨Tip Number 4
Prepare to discuss your experience with creating suitability reports and personalising them beyond standard templates. Highlight specific examples where your attention to detail made a significant impact on client outcomes, as this is crucial for the role.
We think you need these skills to ace Paraplanner - Worthing
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in paraplanning and financial services. Emphasise your qualifications, such as the Financial Planning Diploma, and any specific tools you are proficient in, like Pensin or FE Analytics.
Craft a Compelling Cover Letter: Write a cover letter that showcases your understanding of the role and the company’s values. Mention how your skills align with their requirements, particularly your attention to detail and ability to work collaboratively with Financial Advisers.
Showcase Relevant Experience: In your application, provide examples of your previous paraplanning roles. Discuss specific tasks you have undertaken, such as preparing suitability reports or conducting fund research, to demonstrate your capability.
Proofread Your Application: Before submitting, carefully proofread your application for any spelling or grammatical errors. A polished application reflects your attention to detail, which is crucial for the role of a Paraplanner.
How to prepare for a job interview at Ascot Lloyd group
✨Know Your Stuff
Make sure you have a solid understanding of paraplanning and the specific responsibilities outlined in the job description. Familiarise yourself with the tools mentioned, like Pensin and FE Analytics, as well as the importance of Treating Customers Fairly (TCF).
✨Prepare for Scenario Questions
Expect to be asked how you would handle specific client scenarios or challenges. Think about past experiences where you've had to conduct research, prepare reports, or manage client expectations, and be ready to discuss these in detail.
✨Showcase Your Attention to Detail
Since the role requires high attention to detail, be prepared to demonstrate this skill. You might be asked to review a sample document or identify errors in a report during the interview, so practice being meticulous in your responses.
✨Communicate Clearly
Excellent communication skills are crucial for this role. Practice articulating your thoughts clearly and concisely, especially when discussing complex financial concepts. This will help you stand out as a candidate who can effectively collaborate with Financial Advisers and clients.
