Client area

We are recruiting an IFA Administrator. This is a nationwide role. 

Reports to:

IFA Admin Manager



Hours of work:

35 hours each week

Purpose of role

To provide pre and post-sales support to the Financial Advisers. To ensure that client documentation/requests are accurately processed and completed within the required time scales; and in accordance with the compliance guidelines as defined by the Company.  To provide a high level of support to clients in an efficient, compliant and professional manner.

Key Responsibilities

  • To arrange for amendments to encashment and withdrawal requests from existing client plans as instructed by the Adviser and inform the client by email where appropriate.  To update Intelligent Office client records with the amendments. 
  • To operate and manage an effective diary within Intelligent Office to ensure that all activities are planned for and carried out in a timely manner. 
  • To ensure that Advisers and the Operations Manager are informed of any client related events and issues in a timely manner. 
  • To provide cover and carry out duties for other Administrators in the team, in their absence. 
  • Deal with and respond to written, telephone and electronic general enquiries for IFAs, colleagues, clients and providers. 
  • Provide clients with timely and accurate information and obtain any new business information and existing policy information from clients where required. 
  • Maintaining relationships and contacts with providers to ensure a professional service 
  • Deal with any resulting fee and commission queries from the Finance Department 
  • To produce accurate, regular and ad-hoc client valuation schedules, and input into Intelligent Office. 
  • Compile client meeting packs containing documentation such as, but not limited to, valuations, client agreement, fact find, risk questionnaire and profile for the Adviser to use at client meetings. 
  • To post client documentation to the client or product providers as appropriate. 
  • To issue signed letters of authority to providers and obtain standard policy information.  Update client policy records on receipt of information on Intelligent Office. 
  • To accurately maintain client personal details and policy information and update on Intelligent Office. 
  • To prepare new business applications in accordance with the Company’s standard operating procedures and compliance handbook 
  • To obtain illustrations, key features and application forms from Platforms & Providers as required. 

Key Responsibilities continued:

  • Where necessary: -  
    • Answering the telephones in a professional manner, conforming to Company standards 
    • To be responsible for the opening, scanning and distributing the post working within the company timescales  
    • Ensuring all scanning of hard copy files is completed accurately /readable 
    • Shredding documents as and when required 
  • To report any compliance issues or suspected compliance breaches to the Compliance Manager as soon as they are made aware of them. 
  • To operate within and conform to the Company’s existing and continually developing operating systems and procedures and contribute to their further development where required, through participation in Procedural Workgroups. 
  • Projects - carry out projects as required by the business which may include the following key areas:
    • Intelligent Office 
    • Platforms / Providers 
    • Investment Committee
    • New Business 
  • To carry out any other reasonable duties as requested by line management or directors. 

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

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

Experience / Skills Required

  • Willingness to study towards professional qualifications (desirable but not essential)  
  • Client centric in approach  
  • Organised and highly motivated 
  • Good levels Industry knowledge 
  • Good attention to detail 
  • Accurate data entry and record keeping skills 
  • Computer literate in Microsoft Office and other applications 
  • Excellent communication skills both written and verbal 

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