The sucessful candidate will lead a team dedicated to servicing clients within a restricted advisory dealing service. This will involve supervising Advisors & Assistants on the Desk, ensuring that annual KYC reviews of clients are carried out by the team and managing the provision of restricted advice and relationship management.
Key Areas of Responsibility:
Provide restricted advice and telephone support to clients (includes taking on new clients and contacting all clients annually to refresh KYC) and manage the team to do the same.
Oversee the provision of:
Annual suitability reviews for clients and ratify advice to be given.
Ongoing advice around clients' investments as required.
Transferring clients into the service
Ongoing relationship management services including all general assistance to clients.
Take responsibility for the rationalisation, automation and development of systems and processes as necessary.
Manage both internal and external stakeholders to promote the service and grow the assets.
Senior Managers and Certification Regime:
This role is deemed a Certification Function under SMCR. You therefore will be required to be certified, at least annually.
Qualifications & Experience:
A-Levels minimum, degree preferred.
Essential professional certifications to include: Certificated Staff, RDR Level 4 and a Statement of Professional Standing (SPS) from CISI.
A genuine interest in advisory / investment management and some evidence of an entrepreneurial approach.
1-3 years of investment experience post CF30 certification.
Knowledge & Skills:
Strong teamwork skills.
Highly motivated to deliver optimum client outcomes.
A flexible, responsive and self-starting attitude with a keen attention to detail.
An open-minded and intellectually honest approach to investment processes.
Excellent written and verbal communication skills.