1. To assist in the day to day management of a designated bank of clients for the Account Executive.
  2. 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.
  3. To ensure all administration incorporates efficient recording and checking of any client detail changes.
  4. To act on email instructions received from clients.
  5. To assist in ensuring that data maintained on behalf of clients is up to date and that adequate records are maintained.
  6. Review client files/application forms/suitability reviews to identify gaps and discrepancies.
  7. Resolve discrepancies themselves (where possible) or to guide the front office on the relevant policies/procedures to achieve compliance standards.
  8. Contact clients and go through suitability assessments over the phone.
  9. Keep abreast of system enhancements and compliance controls to ensure procedures are properly reflected across the client base.
  10. Liaise with and assist the suitability unit and compliance in providing any required or documentation in support of monitoring.
  11. To prepare Performance Figures/Reports for the Account Executive.
  12. Collation of Tax Packs.
  13. 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.
  14. 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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