- To assist in the day to day management of a designated bank of clients for the Account Executive.
- To work with and report to the Senior Assistant on the team and provide back up to the Account Executive and develop a working relationship with their clients.
- To ensure all administration incorporates efficient recording and checking of any client detail changes.
- To act on email instructions received from clients.
- To assist in ensuring that data maintained on behalf of clients is up to date and that adequate records are maintained.
- Review client files/application forms/suitability reviews to identify gaps and discrepancies.
- Resolve discrepancies themselves (where possible) or to guide the front office on the relevant policies/procedures to achieve compliance standards.
- Contact clients and go through suitability assessments over the phone.
- Keep abreast of system enhancements and compliance controls to ensure procedures are properly reflected across the client base.
- Liaise with and assist the suitability unit and compliance in providing any required or documentation in support of monitoring.
- To prepare Performance Figures/Reports for the Account Executive.
- Collation of Tax Packs.
- To ensure that your knowledge of impending changes within the industry, whether regulatory or technical, are at a level to fulfil all of the above, and to inform your line manager and HR department when further training is required.
- It is your duty to report to your line manager any information which it would be reasonable to assume would be of material significance.
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