Purpose

  • To deliver holistic financial advice, supporting our clients to achieve their financial objectives
  • Developing long standing relationships with clients through regular reviews and delivering solutions to meet their change in circumstances
  • Creating strategic alliances with professional connections with a view to develop new client relationships
  • Driving a referable culture within the client bank to encourage referral opportunities
  • Organically grow client relationships to meet ongoing business requirements
  • To reach revenue target and contribute to the growth of AL through client retention and new business whilst ensuring the needs of the client are being considered and achieved
  • Be an ambassador for the Ascot Lloyd brand through active promotion of our services

Responsibilities

  • To develop effective relationships with clients and professional connections as one of the principal sources of new clients and maximising brand awareness
  • Develop a sustainable business model for the provision of advice to clients
  • Develop holistic client relationships in line with our client service proposition
  • Actively seek and identify new business opportunities both internally and externally to support the growth of the business
  • Provide financial advice to clients on a range of whole of market financial planning solutions
  • Provide clients with an exceptional service, ensuring that all reviews are undertaken regularly and in accordance with their agreed service propositions to maintain and grow our recurring revenue stream
  • Operate in accordance with Ascot Lloyd policies and procedures including Compliance, Operational and Training & Development (T&D) as issued by the business
  • Act in accordance with the Financial Conduct Authority’s (FCA) Statement of Principle and Code of Conduct for Approved Persons and all other regulatory bodies, including the Fit and Proper principles
  • Regularly review personal development and performance with the Training & Development department in line with Ascot Lloyd’s defined T&C scheme.
  • Achieve organisational, operational, personal and behavioural objectives, whilst demonstrating Ascot Lloyd’s values and core competencies
  • Expand client opportunities via networking with external bodies
  • Ensure that MI reporting is completed timely and accurately as directed by Ascot Lloyd or Adviser Relationship Manager
  • Meet set KPIs both in terms of service, sales and compliance
  • Support the Treating your Customers Fairly (TCF) initiative by ensuring you operate in line with FCA requirements
  • Observe the Ascot Lloyds values and operate within the standards provided

Experience & Core skills

  • Financial Planning diploma qualified (ideally Chartered or working towards Chartered)
  • Demonstrable financial planning experience gained with a recognised organisation
  • Excellent communication skills (both written and verbal), with the ability to explain complex financial arrangements
  • Demonstrable track record of delivering challenging sales targets within a regulated environment
  • Knowledge of back office systems
  • Keen attention to detail
  • Collaborative working
  • Previously achieved CAS status
  • Ensure that all CPD logs and training is up to date
  • Up to date knowledge of industry and legislative changes that may impact advice, allowing for mitigating strategy to be built into advice

Measured competencies

Competent Intermediate Advanced
Client Centric P
Adaptive P
Commercially Aware P
Relationship Builder P
Leadership P
Decision Making P
Vision & Value Creation P

Ascot Lloyd Values

All Ascot Lloyd employees are expected to demonstrate a strong commitment to our core values:

Knowledgeable – We pride ourselves on our commitment to support career development for all our employees. We welcome feedback and use this valuable insight to help shape future business decisions.

Excellent – We aim to exceed clients’ expectations. We implement comprehensive, flexible solutions to ensure they reflect the changing needs of our clients.

Trusted – We are dedicated to building tailored, lasting relationships, with our clients and their wider families. We pride ourselves in independence to deliver unbiased solutions. We respect everyone we work with internally and externally and have total confidence in our colleagues’ capabilities.

Credible – We are committed to building a sustainable business that preserves the wealth of our clients. We do not make assumptions and take time to listen to the needs of our clients. We are open and honest with each other ether as a team to deliver a consistently excellent service to our clients. We honour our commitments and deliver what we say we will to our clients and everyone else we come into contact with.

For further information please contact Karen Clifford, HR Business Partner – karen.clifford@ascotlloyd.co.uk.

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