Senior IFA Administrator / Reports to: IFA Team Leader

Key working relationships: Financial Planning Managers, Financial Planners, Paraplanners, the wider IFA team and relevant colleagues across the firm.

Role purpose: To provide high-quality, efficient and compliant administrative support to the firm’s financial planning team, a strong focus on client servicing, new business implementation and ongoing review administration. Role supports the delivery of a premium client experience. Therefore essential that the role holder maintains accurate and auditable records and helps ensure work is progressed in line with internal procedures, service standards and regulatory requirements.

KEY RESPONSIBILITIES

1. Client Administration and Service Delivery

Managing a varied workload to support the efficient running of the financial planning team, prioritising client, adviser and provider requirements and ensuring work is completed accurately and within agreed timescales.

Preparing, collating and issuing client and provider documentation to a high standard, ensuring records are accurate, complete and presented in line with the firm’s requirements.

Maintaining accurate client records, workflows, notes and document management on the firm’s back-office and CRM systems.

Using the firm’s procedures, workflows and systems effectively to support:

– Client records and workflows, new business processing and case tracking, provider and platform administration. Valuations, letters of authority and policy servicing. Risk profiling and planning support tools. Client communications, compliance controls and file records 

– Handling telephone and email enquiries professionally and promptly. Liaising closely with Financial Planning Managers, Financial Planners, Paraplanners and the Team Leader. Undertaking core financial planning administration activities, including:

– Preparing and submitting new business applications, obtaining provider information and valuations. Processing servicing requests (withdrawals, switches, etc.). Monitoring pipelines and chasing providers. Preparing review packs and meeting documentation. Maintaining confidentiality and data security at all times.

2. Professional Standards and Team Contribution

Demonstrating a professional, proactive approach. Identifying inefficiencies and contributing to improvement. Supporting colleagues and teamwork.

3. Compliance and Risk Awareness

Working in accordance with FCA, GDPR, AML and internal procedures. Maintaining audit-ready records and escalating issues appropriately.

4. Client Service and Teamworking

Providing professional, responsive service. Communicating clearly with clients and colleagues. Maintaining a client-focused approach at all times.

PERSON SPECIFICATION

Experience:

– Significant experience in IFA/wealth management administration,  knowledge of pensions, investments, ISAs, bonds and protection.  Experience with new business and client servicing, experience using CRM and provider platforms, understanding of FCA-regulated environments

Education and Communication:

– Good standard of education including English with strong written and verbal communication skills

Skills and Approach:

– Awareness of AML, GDPR, Consumer Duty. Strong organisation and attention to detail, ability to prioritise and work independently, collaborative and professional approach. Good knowledge of Microsoft Office and systems

Development:

– Support available for financial planning qualifications