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Level 4 Apprenticeship in Financial Planning Apprentice
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Are you interested in building a long-term career in financial planning?
Join our growing Team based in the City of London and work towards the CII Diploma in Regulated Financial Planning, comprising R01- R06 while completing the Level 4 Paraplanner and Financial planner apprenticeship.
Most of your apprenticeship is spent working. You’ll learn on the job by getting hands-on experience.
What you'll do at work
We are looking for two motivated and detail-oriented Financial Planning Apprentices to join our team. Working closely with our Financial Advisers, Paraplanners and administrators, you will gain practical experience across the financial advice process while developing your technical knowledge.
Under supervision, you will:
- Conduct product and fund research to support financial-planning strategies
- Liaise with providers to obtain accurate and up-to-date client information
- Maintain client information on our CRM system and use specialist financial-planning tools
- Support the preparation of accurate and compliant client files, recommendations and suitability reports, working under the supervision of experienced colleagues
- Work towards gaining professional qualifications (R01, R02, R03, R04, R05 & R06) and developing knowledge of financial products and planning techniques
- Provide administrative support as needed to ensure smooth client service delivery
Where you'll work
30-32 Lombard Street
London
EC3V 9BQ
Apprenticeships include time away from working for specialist training. You’ll study to gain professional knowledge and skills.
Training provider
SKILLCERT LIMITED
Training course
Paraplanner and financial planner (level 4)
Understanding apprenticeship levels (opens in new tab)
What you'll learn
Course contents
- Use software packages and digital tools to deliver financial advice or paraplanning services in line with cyber and data security requirements, using data securely and safely.
- Provide services to clients in line with the business proposition, adhering to Consumer Duty and Treating Customers Fairly (TCF) principles.
- Prepare financial recommendations in accordance with risk, regulatory, and governance requirements.
- Comply with service and quality assurance standards for the business, for example complaints procedures and productivity.
- Communicate with clients and colleagues using methods appropriate for the intended audience, including verbal, written, digital, and virtual.
- Interpret and communicate financial and business information in a way that facilitates understanding for the intended audience, for example finance and non-finance stakeholders.
- Build and maintain collaborative, professional relationships with internal and external stakeholders to deliver advisory tasks and achieve successful customer outcomes.
- Plan and prioritise work to support positive outcomes for both the customer and the firm.
- Provide individual advice relevant to clients in line with regulatory requirements.
- Use feedback to reflect on own practice and identify opportunities for continuous professional development (CPD).
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Paraplanner
- Analyse clients’ current circumstances and research appropriate solutions to meet their needs, objectives, and attitudes to risk.
- Provide financial planning support to colleagues using appropriate market knowledge and available software and research tools.
- Conduct technical product and fund analysis.
- Create personalised client-facing financial planning reports that are tailored appropriately to the audience and in line with regulatory and firm standards.
- Securely maintain client files with evidence of any research and analysis undertaken.
Financial Planner
- Conduct KYC activities to fact-find relevant information and establish clients’ financial needs and objectives, including identifying when and where clients may be experiencing vulnerabilities.
- Establish overall risk profiles for clients through an understanding of the clients’ financial knowledge and experience, attitude to investment risk, capacity for loss, and understanding of their vulnerabilities.
- Identify, prioritise, and address clients’ needs in line with regulatory requirements.
- Deliver advice solutions that support clients in achieving their financial objectives.
- Collaborate with customers to create new opportunities for business growth, for example through referrals and networking.
- Establish clients’ views on responsible and sustainable investing and the impact this may have on available solutions and outcomes.
Use software packages and digital tools to deliver financial advice or paraplanning services in line with cyber and data security requirements, using data securely and safely.
Provide services to clients in line with the business proposition, adhering to Consumer Duty and Treating Customers Fairly (TCF) principles.
Prepare financial recommendations in accordance with risk, regulatory, and governance requirements.
Comply with service and quality assurance standards for the business, for example complaints procedures and productivity.
Communicate with clients and colleagues using methods appropriate for the intended audience, including verbal, written, digital, and virtual.
Interpret and communicate financial and business information in a way that facilitates understanding for the intended audience, for example finance and non-finance stakeholders.
Build and maintain collaborative, professional relationships with internal and external stakeholders to deliver advisory tasks and achieve successful customer outcomes.
Plan and prioritise work to support positive outcomes for both the customer and the firm.
Provide individual advice relevant to clients in line with regulatory requirements.
Use feedback to reflect on own practice and identify opportunities for continuous professional development (CPD).
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Training schedule
Paraplanner and Financial Planner Level 4.
This is a work-based apprenticeship with no day release. All training and support will be delivered in the workplace and also by the training provider.
More training information
Each apprentice will need to study and pass their regulatory exams to complete the qualification.
Essential qualifications
- GCSE in:
- English (grade 4-9)
- Maths (grade 4-9)
Share if you have other relevant qualifications and industry experience. The apprenticeship can be adjusted to reflect what you already know.
Your earnings can increase over time with an apprenticeship. Find out about potential future pay (opens in new tab).
Subject to successful completion and performance and business requirements, there will be an opportunity to progress into a permanent Associate Paraplanner Position. Candidates interested in financial advice may subsequently be supported towards an adviser pathway and further Level 6 or Chartered qualifications.
The contact for this apprenticeship is:
SKILLCERT LIMITED
Adam Black
Adam.Black@skillcert.co.uk
The reference code for this apprenticeship is VAC2000051323.
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