We are recruiting a Client Service Executive.

Reports to:

Connect Team Relationship Manager



Hours of work:

35 hours each week

SMCR Function:

This is a conduct role

Purpose of role:

To provide a consistently high level of service to Ascot Lloyd (AL) clients ensuring an excellent and compliant client experience of the highest possible standard. This should be in line with the AL values, as well as being mindful of Treating Customers Fairly (TCF) at all times. 

Key Responsibilities

  • Regular contact calls to AL clients (Inbound & Outbound), with a view to building relationships and ultimately securing client commitment to AL
  • Build relationships with Connect clients with a view to create business opportunities and support business growth
  • Meet personal referral targets with a view to providing fee generating referrals to other parts of the business supporting business growth
  • Support client uplift initiative by identifying clients on incorrect service propositions and facilitate transfer to the new Connect Service proposition
  • Support sales initiatives to identify and engage with clients to increase revenue for the business
  • Provide an efficient inbound/outbound call service to the Ascot Lloyd clients, taking ownership of the client journey and providing suitable outcomes including efficient handover to the relevant departments
  • Support simplification of client communication and encourage digital interaction through promotion of the Personal Finance Portal with all clients
  • Ensure accurate collation of client information and maintain up to date client records, enabling ease of ongoing client communication and meeting GDPR requirements
  • Ensure effective storage of all client documentation in line with GDPR
  • Ensure you operate within the AML requirements
  • Facilitate and process simple investments (non-advised top ups) and withdrawals, ensuring the appropriate non advised process letter is produced in line with AL compliance process

SM&CR Responsibilities

As an FCA regulated Company, Ascot Lloyd are required to adhere to the Senior Managers and Certification Regime (SM&CR), to develop a culture where employees take personal responsibility for their own actions.

Individual Conduct Rules

  1. You must act with integrity
  2. You must act with due care, skill and diligence
  3. You must be open and co-operative with the FCA, PRA and other regulators
  4. You must pay due regard to the interests of customers and treat them fairly
  5. You must observe proper standards of market conduct

Experience & Skills Required

  • Excellent interpersonal skills
  • Drive and ability to plan, prioritise and manage workloads
  • Ability to follow processes and procedures in a compliant manner
  • Excellent communication skills, both written and verbal
  • Enthusiastic, positive and confident telephone manner
  • Attention to detail
  • Client confidentiality
  • Team work
  • Excellent record keeping

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