Wealth Manager / Financial Planner

Wealth Manager / Financial Planner

 

We strive to deliver unrivalled financial planning and wealth management services. You will be responsible for advising UK Private Clients, typically high net worth individuals with over £250K to invest Manager / Financial Planner to join our Client Advice Team at our Head Office in Norwich to deliver unrivalled financial planning and wealth management services. You will be responsible for advising UK Private Clients, typically high net worth individuals with over £250K to invest. This is an exciting opportunity to work at SG Wealth Management.

Ideally the successful candidate will be diploma or chartered qualified, with strong experience working in the Financial Services wealth sector with UK clients. You do not need to have a portable client bank, however those with this will be given preferable shortlisting for interview. Those without must be able to demonstrate a strong track record of building and maintaining client relationships.

 

Key responsibilities:

• Comply with the Financial Services and Markets Act 2000, the FCA Statements of Principle & Code of Practice and the relevant FCA rules at all times.
• Comply with the relevant Compliance, TCF, T&C, financial crime and Anti-Money Laundering Procedures of the firm at all times.
• Keep up to date with relevant product, legislative and technical changes.
• Prospect / contact potential clients following guidance from the Directors or the Chief Investment Officer or other members of the Senior Management team.
• Ensure sufficient client information obtained to ascertain client’s full financial and personal circumstances.
• Agree client’s current and future goals and strategies to ensure that financial planning investment advice complements client’s needs.
• Construct the initial Wealth Management / financial planning report, with assistance from paraplanning, with particular emphasis on the client’s stated aims, attitude to investment risk and relevance of the investment portfolio and assume full responsibility for that report.
• Assume responsibility for ensuring that the client is kept fully informed of matters pertinent specifically to their situation or of a more general nature, for example a change in tax rules. Ensure that the client receives some communication from SG Wealth Management Ltd, averaging at least 6 times per annum. This might take the form of a telephone call, letter or email; the valuation report forms part of this regular communication programme.  This close contact is particularly important in the first 12 months of the business relationship and under no circumstances should two months go by without some contact.
• Fully document the content of all client meetings within a reasonable timescale and subsequent actions required.
• Undertake sufficient product and market research.
• Ensure suitable recommendations are made.
• Ensure all supporting documentation is maintained.
• Attain and maintain level of competence as required by the firm.
• Maintain all standards of performance as required by the firm.
• Ensure relevant CPD is maintained and recorded accurately.
• Other ad hoc duties as required compensatory to the role and as directed by your line manager.

 

Qualifications:

• GCSE Grade A-C or 9-4 including English and Maths (or equivalent)
• Diploma in Financial Planning (DipPFS – Level 4)
• Chartered Status or working towards qualification (desirable)

 

Knowledge and Skills:

• Requisite technical knowledge and qualifications, to meet FCA and company expectations.
• Detailed knowledge and understanding of the firm’s compliance procedures including record keeping requirements.
• Provision of advice to clients in a compliant manner in accordance with FCA requirements.
• Previous experience of advising client on financial products and services and management of investments.
• Previous experience of working in a Financial Services environment.
• Proven experience of providing plaining services, Tax Planning, Estate Planning, etc.
• Strong communication and interpersonal skills, with the ability to present detailed information.
• Strong organisational, prioritisation and delegation skills with ability to multitask.
• Analytical with the ability to be understand complex information.
• Ability to be tactful and diplomatic and trustworthy as often dealing with sensitive and confidential information.
• Strong team player, fostering strong working relationships across teams and across departments.
• Experience of dealing with and producing high quality of written and spoken English.
• Excellent IT skills, particularly in Excel, Word and PowerPoint.
• Previous use and understanding of Microsoft Teams and Intelligent Office would be advantageous.

 

 

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