Financial Planning Support Team Leader

Posted 27/04/2015
Reporting to Director, Financial Planning Operations
Hours 08:00-17:30
Salary Competitive
Location Manchester


To manage and work alongside the Financial Planning Support team, supporting a Financial Planning Director plus two other Financial Planners, covering a range of Investment, Pension, Tax and Protection planning for HNW clients.  The team is based within the offices of a Top 15 firm of Chartered Accountants.  Your team is the initial point of contact for client queries, will liaise with the Accountants and other 3rd parties on mutual clients, plus manage all Financial Services administration to ensure a first class service is provided.


  • Previous experience in a team leader or management role
  • Previous technical administration experience in an IFA or Wealth Management firm
  • Experience and knowledge of investment and pension products in particular is essential, experience of Discretionary Fund Management products preferred
  • Avelo (1st software) experience essential
  • Progress with Financial Services qualifications preferred


  • A confident, professional and pragmatic approach to all duties.
  • Ability to work unsupervised and manage own workload
  • Excellent verbal and written communication skills
  • Strong analytical skills
    • Initiative - all ideas and input to the team are welcome. Use judgement and reasoning in order to propose solutions to problems
  • Positive attitude and a willingness to learn
  • Accuracy is paramount


Team responsibilities

  • To plan and co-ordinate work coming into the administration team, ensuring that team members are meeting and exceeding their service targets
  • To work closely with the Director, Financial Planning, providing regular updates on the team’s work
  • Conduct bi-annual reviews of performance.
  • Conduct interviews for new recruits.
  • Maintain professional competence and market knowledge.
  • To coach and develop the skills of team members.

Client Servicing and 3rd party liaison

  • Act as the main point of contact for clients, 3rd party firms and providers
  • Deal with any on-going client servicing requests as requested directly, or by the consultant

New Business Applications

  • Ensure that all business is fully compliant and accurate prior to submission (includes Money Laundering considerations).
  • Maintain the client database.  The predominant system is Iress (also known as 1st software/Avelo), in-house software (FileMaker) is also used.
  • Liaise with the provider to chase business through to completion and update the client, meeting timescales for internal service standards.
  • Manage the ‘remuneration outstanding’ report and use investigative methods to ensure that commissions/fees due to the business are paid in a timely manner
  • Work closely with any corporate clients on the administration of their group pension and protection schemes.

Client Letters of Authority & Valuations

  • Obtain and analyse comprehensive policy information from LOAs, including summarising fees and charges, and any special considerations applying to the policy
  • Obtain valuation details from the providers, challenging any data as necessary
  • Input, print and check valuation report and accompanying notes.
  • Ensure client reviews are scheduled as per Client Agreements, and fully documented post-meeting


  • Prepare comparison quotations.
  • Prepare and print illustrations and key features and applications as required by the consultant/paraplanner

Client Correspondence/Post/Filing/scanning

  • Ensure all incoming post is dealt with appropriately, in a timely manner
  • File and scan all documentation on a daily basis

Preparation of documents for client meetings

  • Liaise with consultants regarding any items required for client meetings.
  • Prepare Letters of Engagement and Client Servicing Agreements


  • Observation/application of all internal compliance procedures, including Treating Customers Fairly


Please send your CV and cover letter to


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