IDEX Consulting Ltd
Technical Paraplanner
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Senior Advice Technician / Technical Paraplanner
Remote
Purpose
To offer constructive technical advice support to advisers and other stakeholders of the business at the initial and final stages of the advice process. Provide an integral component of the advice audit framework ensuring adherence to the firm's overarching principles and guidance to ensure robust advice files which meet regulatory standards and demonstrate consistently good client outcomes.
Responsibilities
- Enhance advisory outcomes and solutions through direct discussion on complex financial planning cases with advisers
- Provide clear and considered professional judgement and decision on cases which carry the potential for a higher risk impact to client, firm and advisers.
- Respond to routine and advanced advice queries from other teams, conducting detailed research as required to provide fully informed responses.
- Provide support in performing enhanced post audit review assessment of advice cases and evaluation of standards.
- Occasional inclusion in project work, assisting in the development of advice and regulatory processes across the business
- Completing/checking regulatory industry update summaries and technical articles where required
- Provide support to the Advice Assurance Manager in delivering induction and training for new recruits as needed.
- Maintain a high standard of technical and regulatory competence and comprehensive knowledge of financial planning through consistent annual CPD activities in line with the firm's T&C Scheme
- Completion of assigned tasks, ensuring that internal SLAs are adhered to
- Contribution and participation in Advice Guidance discussions
- Provide valued input into the technical and regulatory development of advisers and staff on a case-specific basis
- Actively contribute to the technical and regulatory advancement and development of Advice Technicians through knowledge sharing and guidance.
- Provide support across departmental functions as and when required.
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Experience, knowledge and qualifications:
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- Chartered Financial Planner status or actively working to final stages of becoming Chartered
- Commitment and willingness to pursuing further professional qualifications relevant to the role.
- Demonstrate excellent knowledge and strong interest in the personal and corporate financial planning principles and regulatory requirements
- Experience in the supporting of financial advisers including providing constructive scrutiny and feedback of case files including KYC, research and Financial Planning Reports
- A decisive nature giving the ability and willingness to make thorough and well-informed decisions in relation to advice cases that present a high risk to the business
- Experience in mentoring/training would be advantageous
- Excellent written and numerical skills and an exceptional communication style
- Ability to prioritise and manage workflow in a fast-paced environment
- Aptitude in Microsoft Office, cashflow analysis and knowledge of research systems is preferable
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