You will be working within a highly successful team and we ensure that Training and Competence standards are maintained and that investment advisers are adequately supervised. We assess and train any new recruits to a satisfactory standard and ensure administration staff remain competent for their role in providing support.
Para-planning Support
We provide para-planning support so that advisers can concentrate on dealing with clients' needs rather than spend hours preparing client reports and recommendations. Our para-planners use comprehansive report templates to prepare reports for the adviser to check, edit and sign off as necessary.
Industry exams
Help available towards qualifications such as the Diploma in Financial Planning.
Reports provided
We regylarly provide the following management information:
Lapse / Clawback notifications (weekly)
KPI's including Persistency, range of advice areas and range of providers used (quarterly)
CPD hours (half yearly)
Sales results bulletins (weekly & quarterly)
Targets and budgets (quarterly)
RMAR reports to FSA (half yearly)
Advertising
All advertising, stationary and mail shots will be checked to ensure compliance.
Training for new recruits
Help with all the paperwork!
Observing initial client meetings
Money Laundering & Complaints handling
File reviews
Checklists to help ensure Suitability of advice and file contents are complete
Initial Disclosure Documents (IDD)
We produce and maintain Key Facts IDD's
Licenses
We hold valid licenses for Consumer Credit and Data Protection.
Authorised and Regulated
We are Authorised and Regulated by the FSA and our permitted business is:
Advising and arranging Investments (including non-investment insurance contracts, life policies & pension schemes)
Advising and arranging Regulated Mortgage Contracts
Advising on Pension Transfers & Pension Opt Outs
Advising and arranging Inheritance Tax Mitigation Schemes
Regular bulletins and fact sheets
We provide you with regular bulletins and fact sheets on technical and regulatory matters
Portfolio valuations
We provide the ability for investment clients to view their portfolios 'real-time' on-line 24/7, together with access to a complete cash audit trail, fact sheets, contract notes, consolidated tax vouchers and much more.
Portfolio Management
In conjunction with the Ascentric wrap we run a series of risk rated investment portfolios and have outperformed our pier groups.
Client database
You will have remote access to our fully maintained database, provided by 1st software.
Adviser intranet
We will set up a user name and password for you which will give you access to our comprehensive Intranet. Some of the things this provides you with are the Company Manual, Training & Competence Manual, and Online Suitability Reports. These Suitability Reports can be made client specific whilst still containing all the regulatory information required, saving advisers a lot of time and worry.
For a confidential chat why not call and speak to Malcolm Coury on 01225 471100 or send your CV in confidence
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