Purpose
To provide technical support to advisers in the client advice process in accordance with compliance procedures and regulatory requirements.
This role will be part of the 7IM Group, specifically in our Partners Wealth Management Solutions Limited entity based in Solihull.
Responsibilities
- Provide support and work closely with the Advisors to compare product providers
- Create research reports on behalf of the Adviser
- Create product illustrations as required
- Research funds to be recommended
- Prepare risk profiling reports and/or matched fund list to demonstrate suitability of funds
- Prepare documentation for the Adviser to present to the Client during the advisory stage of the process
- Ensure that cases requiring “pre-approval” are submitted in a timely fashion and confirmation to proceed is obtained
- Ensure that Client documentation is signed and dated appropriately
- Scan Client file documentation onto the back office system in accordance with guidelines
- Draft suitability reports in accordance with compliance guidelines
- Keep up to date with the FCA rules and regulations
- Complete compliance modules in a timely manner, and before deadlines
- Respond to advice file check requests when required
- Liaise with the Business Quality Control Team on any outstanding documentation
- Continually look at ways to enhance operational systems and procedures to maximise efficiencies e.g. Xplan (practice management system)
- Continued Personal Development
- Other duties, as reasonably requested and required by the Line Manager and Eastcote Wealth