Financial Planning Administrator

1 week ago


Sunderland, United Kingdom Tempest Jones Full time

A fantastic opportunity has arisen for an Administrator to join a leading financial planning practice from their office near Sunderland. This company offers advice to individuals and businesses on pensions and retirement planning, protection and investmentmanagement.

This role will be incredibly varied and will offer somebody the chance to get their foot on the ladder within a financial planning evironment that nurtures professional development. Full training will be provided.

Core duties:

- Completing compliance checks on all initial business to ensure all required documentation is on file, if necessary contacting the Adviser to inform them where compliance documents are still required.
- Vetting all client documentation to ensure that in the event of a complaint, the Adviser has provided sufficient evidence to justify his advice.
- Ensuring all Clients have relevant identity documentation on file to meet anti money laundering regulations
- Flagging cases for file checks and sending to the Compliance Department.
- Producing compliance reports to inform Firms of any outstanding documents, to enable them to update cases in a timely manner and to resolve any withheld commission issues.
- Recording where fees have been received but no advice provided.
- When required, attending Roadshows to maintain and broaden knowledge of new systems and compliance updates whilst representing the Group and distributing findings to the rest of the team upon return.
- Providing Adviser support to ensure a smooth transition from submission to completion, answering queries and liaising with
- Being the first point of contact for external calls and directing them where necessary to the relevant departments.
- Monitoring business submitted by internally case managed firms, chasing up Providers where necessary and dealing with any issues that may arise prior to completion.
- Adding client records onto the system following receipt of a letter of authority, checking information has been sent from Providers and successfully received at Head Office to provider Advisers with full information to assess the client’s needs.

**To be considered for this role...**

You will ideally have some administration experience within a professional services environment, if not within a financial services related role with grades C or above in GCSE Maths and English, or equivalent.

You will have a desire to learn and develop your knowledge within the area of financial planning.

Good communication skills, organisation and an ability to prioritise are required to be successful in this role also.

**To apply...**

NB: the top end of the salary banding would be for highly experienced and qualified financial planning administrators.



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