Warwick, ENG




Purpose of Role:


To provide administrative and financial planning support for the IFA’s 


Skills and Knowledge:


·        Strong administration and communication skills.

·        Excellent report writing skills.

·        Detailed knowledge of FCA and Firms procedures and record keeping requirements

·        Attained minimum one Diploma level qualification and working towards attaining full Diploma qualification

·        High level of attention to detail.

·        Excellent time management skills.

·        Ability to manage your own workload.

·        Flexible and positive attitude.

·        Strong IT skills.

·        Be able to work on your own or as part of a team.




·        Assessing ‘Know Your Client’ information and client objectives with the IFA

·        Request all necessary information and undertake sufficient research for the IFA to be able to make a suitable recommendation

·        Request and prepare application forms and other necessary paperwork for client meeting

·        Liaise with adviser, product providers and other third parties to ensure the smooth processing of new business

·        Prepare draft Suitability Letters for sign off by the IFA

·        To accurately maintain client personal details and policy information on the firms back-office system (Intelliflo)

·        Understand and comply at all times with the Compliance and Training and Competence Procedures of the firm

·        Understand and comply at all times with the requirements of the Financial Services and Markets Act 2000, FCA Principles and the Code of Practice for Approved Persons

·        Attain and maintain competent status as defined by the firm

·        Maintain performance standards in accordance with those outlined in the Key Performance Indicators section of the Training and Competence procedures 

·        Via self-assessment and feedback identify Continuing Professional Development (CPD) needs to maintain and enhance Competent status and undertake appropriate activity to meet those needs.


All or some of these will be relevant depending on the specific role being undertaken and this will be confirmed and documented on the individuals file together with any additional responsibilities that have been agreed.