Trainee Financial Planner.

About the role

The firm is looking for a driven, ambitious Trainee to join their team. This is an exciting opportunity to join a busy team where client service is at the heart of everything. The role is client facing and non-advisory (subject to change in the future) to support the financial adviser and clients in a compliant manner within the FCA’s rules and guidelines, and according to the firm’s rules and procedures. Moving to a qualified Financial Planner with competent adviser status (CAS) within 36 months.

What you’ll be doing

Main Responsibilities

• Working with the partners and advisers of the firm to provide financial assistance to existing accumulation clients.
• Management of circa 150 clients and all admin with oversight and accountability (and revenue) sitting with current planner for 12-24 months.
• Taking on new clients in own right within 24 months.
• Undertake paraplanning and implementation tasks for own clients.
• To research and keep up to date with new products, technical or legislative changes within the marketplace.

Other Responsibilities

• Always comply with the Financial Services and Markets Act 2000, the FCA Statements of Principle & Code of Practice and the relevant FCA rules at all times.
• Work as part of a team alongside the firm’s advisers and administrators to provide clients with a professional ongoing experience.
• Attain and maintain level of competence as required by the firm.
• Maintain all standards of performance as required by the firm.
• Adhering to internal guidelines surrounding data security, confidentiality, and compliance rules for non-advising staff.

 General Duties

• Supporting the production of financial plans and product recommendations to meet the client’s objectives.
• Maintaining records to support any research undertaken and carrying out all tasks in a manner that is consistent with compliance procedures.
• Understand the client’s views and objectives and assist with establishing and building relationships with clients in accordance with the firm’s business plan / Supervisor’s guidance.
• Assist with collecting required client’s information and analyse information gathered
• Undertake sufficient research to identify suitable solutions to meet the client’s needs and objectives.
• Support the Adviser to ensure suitable recommendations are made in line with the clients’ objectives.
• Ensure all supporting documentation is maintained to a compliant standard as set down by the FCA.
• Ensure implementation of advice completed in a timely fashion and in line with any agreed timescales discussed with the client.
• Manage relationships with third parties such as providers

What we are looking for

We are looking for a competent, driven trainee financial planner, someone who is a great communicator and able to engage and connect with clients. Undertaking training and qualifications working towards the Level 4 Diploma in Financial Planning

Key Skills

• Excellent communication skills
• Interpersonal skills; great at networking
• Analytical mindset
• Team player; ability to collaborate with others.
• Time management skills; able to handle deadlines and pressure.
• Excellent attention to detail.
• Excellent IT skills and proficient in Microsoft Office Products
• Industry awareness and a strong technical knowledge of financial products.

Personal Qualities: Responsible, Considerate and Dedicated

• Driven by a personal sense of integrity.
• Upholds quality standards and takes ownership of work.
• Reliable and trustworthy and treats confidential information with discretion.
• Nurtures teamwork and productive relationships.
• Has care and concern for others, including clients, colleagues and our local community.
• Displays resilience and able to deal with changing priorities.
• Hardworking and diligent.
• A problem solver and not afraid to take on a challenge.
• Willing to learn new skills to develop within the team and help others.

 Desirable Qualification or Experience

• General knowledge of the FCA’s rules and requirements.
• General knowledge of the FCA’s and the firm’s record keeping requirements.
• General knowledge of the products available in the wider market and how to assess the suitability of these products.
• Educated to A level standard, must have GCSE English and Maths and grade C and above.
• Relevant Financial qualification expected within 6-24 months

 What They Can Offer You

Competitive Compensation: A competitive salary aligned with your earning potential. A generous benefits package including a pension scheme, shopping discounts and colleague well-being benefits and more.

Work-Life Balance: Hybrid working, the opportunity to job share (where possible), 25 days annual leave (pro rata) and 8 paid bank holidays.

Investing In Your Career: Continued training/qualification support and a structured career development plan.