Location
London
Advertising Salary
Competitive plus benefits
Contract Type
Permanent

About The Role

Purpose

To act as a Financial Planner within the 7IM Private Client Team.

Responsibilities

Client work

Process

            Follow the established financial planning process.

Reporting

            Provision of financial planning reviews and related advice.

            Prepare and issue regular financial planning reports for clients in conjunction with colleagues in the investment team, where applicable.

Contact

            Prepare for and lead client meetings.

            Understand referral procedure & in-house specialists.

Financial Planning

            To provide comprehensive fee-based Financial Planning & Wealth Management Advice.

            Take responsibility for the provision of advice on all aspects of financial planning and the use of life, investment and pension products; reviewing existing plans; advising on pooled investment vehicles, the use of bonds, onshore and offshore; life and other protection plans; retirement income planning; pensions, inheritance tax planning, tax-led investments, cashflow modelling, etc.

            Supporting fee-based financial planning advice provided across a broad range of services including all forms of pensions, investment, savings, protection and tax planning vehicles.

            To confirm the suitability of life, pension and potentially investment plans already held by clients and to assist in developing future arrangements.

Support

            Work with others in the client team, particularly (internally) investment managers and (externally) solicitors, tax specialists and accountants, utilising available sources to ensure that report and other deadlines are met

Non-client work

Research & Strategy

            Participate in departmental and external provider meetings.

            Take lead responsibility for the research/analysis of the areas of advice allocated to you and with reference to the 7IM style

            Support a collegiate environment for the financial planning team’s discussions and development of the Private Client Team’s strategy.

Information Technology

            Maintain an understanding of the Company’s systems including: financial planning, investment management, practice management (Xplan and other internal systems), dictation, client inception, fund service, real-time pricing terminals.

            Understand and maintain, where necessary, proprietary systems.

Marketing

            Assist with the marketing and promotion of the Company’s financial planning and other businesses, both externally and within the Group.

Back Office

            Maintain a thorough understanding of back office procedures including client take-on procedure, client report production, financial planning process, valuations and advice procedures, all of which are to be provided via Xplan.

Other

            Undertake any projects or longer-term responsibilities that are assigned to you.

            Act in the best interest of clients ensuring the FCA’s requirements and Company policies in relation to Treating Customers Fairly, MiFID II and SMCR are adhered to.

The above list is not exhaustive and additional duties will be allocated as appropriate

About You

Skills

            Have excellent client-facing skills.

            Have excellent communication skills.

            Be commercially focused.

            Have strong research and analytical skills and demonstrable experience of applying these.

            Have good IT skills.

 

Knowledge

            Be able to work as part of a team.

            Be able to work with the minimum of supervision.

            Experience in the administration, research and advice across life, investment and pension products; pooled investment vehicles, the use of bonds, onshore and offshore, life and other protection plans; retirement income planning.

            Have Private Banking experience in areas related to the IFA market, or from an IFA background in a client-facing role.

 

Qualifications

            Be educated to Degree level in an appropriate business discipline or with relevant experience.

            Have achieved or be working towards Certified and/or Chartered Financial Planning status.

 

Other relevant information

            Comply with the following at all times:

FCA Rules and Principles.

FCA Statements of Principle for Approved Persons.

The principles of Treating Customers Fairly

Senior Managers Certification Regime

Compliance and relevant Procedures Manual.

The Money Laundering Regulations and internal Anti-money Laundering Procedures.

            Maintain an open and honest relationship with Compliance, including the Training & Competence function.

            Ensure, in conjunction with your Manager and Compliance, that you maintain the necessary competence for your role.

 

 

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