Purpose

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. To take responsibility for training new Administrators and acting as a point of escalation within the team.

Key responsibilities

  • To act as the first point of contact for the local IFA Administration team for any administrative issues or queries and escalation point to the Team Leader.
  • To assist with quality checking of work across IFA Administration teams.
  • To obtain illustrations, key features and application forms from Platforms & Providers as required.
  • 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
  • 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.
  • 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 Team Leader are informed of any client related events and issues in a timely manner.
  • To provide cover and carry out duties for other Senior IFA Administrators/ IFA Administrators in the team, in their absence.
  • 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 work with the Team Leader to oversee the training of new Administrators and the effective roll out of any new policies and/or procedures.
  • To deputise for the Team Leader when they are absent and ensure the smooth running of the team and workloads.
  • To carry out any other reasonable duties as requested by line management or directors.

Experience & core skills

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

Measured competencies

  Competent Intermediate Advanced
Client Centric P    
Adaptive P  
Commercially Aware P    
Relationship Builder 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.

Our new app is here!
Download our new ‘My IFA’ app to get access to tax calculators, financial guides, expenses tracker and more. As a client you can also get full access to the Personal Finance Portal to view your investments and valuations.

Log in to your account

Please choose one of the links below to log in securely to either your Scheme Member account, or your PFP Wealth Management account.

> PFP Wealth management

> Pantheon

> Employee benefits