Purpose:
To assist Advisers with providing an exceptional ongoing service to clients as well as supporting with the onboarding of new clients into the business.
Responsibilities:
- Support Advisers in ensuring the annual ongoing suitability targets are met by setting up meetings, attending meetings and completing the relevant post-meeting documentation
- Creating Statements of Suitability (SOS) for clients post meeting and ensuring the annual review process is completed in a timely manner
- Help to input and process new business application forms, including GIA/ISA/SIPP,VCTS/EIS, Protection & Bonds, ensuring client accounts are set up correctly, including fee rates and account groups.
- Set up fee estimations on Commpay and ensure timely processing of initial fees
- Complete new business cases on the CRM system (Xplan), including advice events, ensuring the system is kept up to date
- Maintain compliant advice files in Practice Management System (Xplan)
- Be a second point of contact for clients to assist with queries and updates on transfers
- Action dealing instructions directly from clients and the Advisers for ongoing placement including switches, rebalances, investing monies and raising funds
- Process bond encashments and withdrawals
- Take responsibility to ensure that all client communication is accurate, appropriate & delivered at the right time, to include emails, letters and reports
- Liaise closely with 7IM’s Operations team to ensure full communication and understanding, minimising errors and maximising service levels
- Continually look at ways to enhance operational systems and procedures to maximise efficiencies, e.g., Xplan
- Continually suggesting realistic & appropriate improvements and solutions to problems to your line manager and others across 7im and review/create procedures when required
- Filing, in accordance with 7IM and FCA procedures
- Subscribing to 7IMs declared Mission and Tenets, & to Treating Customers Fairly (TCF) initiatives
- Ensure the 7IM VPVPs (Vision, Purpose, Values and Personalities) are followed throughout your working practices
- Other duties, as reasonably required by the line manager and 7IM
