Vacancies

Job location

Office/Homebased

Role

One Four Nine is seeking to appoint a Financial Planner wishing to play a fundamental part in One Four Nine’s growth journey.

This is an opportunity to join our business in a client-facing role for an experienced Financial Planner, who mirrors our attitude to building relationships, long-term business and new business development. Ideally, candidates should have contacts with professional introducers in the accountancy and legal world.

A Financial Planner will have to demonstrate the highest possible standards of client service delivery that are Compliant and provided consistently and proactively within agreed and expected timescales and quality levels whilst demonstrating company values. They will also need to demonstrate a good working knowledge and understanding of Financial Conduct Authority (FCA) Fair Treatment of Customer principles to help ensure that an ethical and Compliant culture is always maintained within the business.

They must adhere to the high standards of conduct and integrity set by the business, be confident and work diligently and accurately.

By joining us, you will be an integral part of a fast-growing independent financial advice and fund management group. We empower our people to foster their entrepreneurial abilities in a supportive and collaborative environment that raises the professionalism of financial advice. Career progression, flexible working and great benefits are all available, with a lucrative bonus structure on offer for the right individual.

Responsibilities

• Meet with clients to understand their current finances and future plans
• Work collaboratively with Paraplanners, support staff, line managers and other parts of the business, in order to deliver advisory services to the clients in line with the Group’s centralised advice and investment proposition
• Research financial products and explaining details of products so that clients can make informed choices
• Negotiate with providers of financial products where appropriate
• In collaboration with other members of the team, be responsible for the preparation of clear recommendations to clients, as and when required
• Keep clients regularly updated about their investments, where appropriate performing annual reviews in a timely manner
• Ensure that records are detailed and kept up to date, using the in-house Practice Management System, Intelligent Office
• Actively build on the existing client base, looking for opportunities for referrals to new clients and to initiate discussions with existing clients on wider engagements including the use of the strategic Adviser Toolkit
• Actively seek new business opportunities in the areas of investments, pensions and trust planning with high-net-worth individuals, keeping Management informed of new opportunities
• Use existing network for new opportunities, including actively developing introductory relationships with other professional services advisers, principally accountants and lawyers
• Comply with the Financial Services and Markets Act 2000, the FCA Statement of Principle & Code of Practice for approved persons and the relevant FCA rules at all times
• Comply with the relevant regulatory framework (MiFID II, Treating Customers Fairly, Training & Competency and shortly Consumer Duty) and financial crime (anti-money laundering, data security, anti-bribery, fraud and corruption) procedures of the firm, along with any future directives that may arise
• Ensure relevant CPD is completed in a timely manner and recorded accurately in line with qualifications and licensed areas of advice, alongside other training modules mandated by the company

Requirements

• Candidate would ideally already have achieved a Chartered qualification relevant to their function (APFS / Adv.DipFA / QCF Level 6 CISI) or be completing exams along a clearly mapped trajectory towards an appropriate Chartered qualification
• Candidate must, as a minimum, be QCF Level 4 qualified (DipPFS / DipFA / CISI Level 4 Diploma with Financial Advice). Support with further study will be available, subject to agreement with Management
• Must be fully qualified to deliver regulated investment and pension advice and have at least 3 – 5 years’ experience in a similar role
• Candidate would ideally have experience of using Intelligent Office or similar Practice Management Systems
• Well organised, numerate and IT literate, with familiarity with major research and advice systems (product selection, investment analysis, risk profiling, cashflow modelling, etc)
• Excellent communication skills, both verbal and written, and ability to communicate with colleagues and clients at all levels
• Self-motivated, with an ability to work and think under own initiative and as part of a team, both in Locations and across the wider business, as appropriate
• Have an excellent entrepreneurial attitude and business development skills

Job location

Office

Role

One Four Nine is seeking to appoint two Administrators to support our Financial Planners. One based in Nottingham and one based in Preston.

The administrator role is an integral and very important part of the delivery of financial advice services to our valued clients.
The successful candidate needs to be able to work as part of a team and adapt to changing requirements. Good communication skills will be important, as is accuracy of output and working to agreed timescales.

By joining us, you will be an integral part of a fast-growing independent financial advice and investment management group. We empower our people to foster their entrepreneurial abilities in a supportive and collaborative environment that raises the professionalism of financial advice.

Responsibilities

• Work closely with financial planners on all aspects of their day-to-day work with clients
• Be involved in the processing of client business and interacting with the various pension and investment product providers
• Prepare for client meetings for the financial planners
• Work closely with product providers on changes to client’s policies
• Diary Management
• Meet and greet clients/visitors to the office when required
• Answer telephone and direct calls accordingly
• Open and scan mail and distribute accordingly
• Ensure client records, back-office system and shared folders are maintained and up to date
• Prepare first meeting packs
• Prepare mandates for signing, send signed copies to providers via email/post, monitor receipt of information within prescribed timescales, and preparing checklists (if required)
• Complete verification checks (AML & Financial Sanctions), and complete enhanced due diligence (if required)
• Send Attitude to Risk Questionnaire link to the client for completion ahead of the annual review meeting as required
• Prepare annual review meeting documents for the financial planner
• Assist the financial planner with post-client review meeting reports
• Work closely with the paraplanners to assist them in the drafting of Suitability Reports for clients
• Provide New business support as required
• Generate fee invoices using company’s systems

Requirements

• Must have previous experience in an Administration role, within financial services
• Strong knowledge of MS Office (specifically Word, Excel, Powerpoint and Sharepoint). Knowledge of IO is desirable
• Excellent organisational skills and attention to detail
• Good numeracy skills
• Proven ability to operate to tight deadlines with minimal supervision
• Excellent interpersonal and communication skills with an ability to liaise with all levels of personnel