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Wealth Management Team Leader 12mth FTC

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  • Ref: JH884902

Position Summary

This role is a combination of Team leader and Support role

To manage and work alongside the local Financial Planning Support team, supporting the Financial Planning Director(s) plus associated Financial Planners, covering a range of Investment, Pension, Tax and Protection planning for your clients

  • Leading the team who are the initial point of contact for client queries, and will liaise with the client and other 3rd parties on mutual clients, plus manage all Financial Services administration to ensure a first class service is provided.
  • To Provide assistance to the Director/ Manager, Financial Planning Operations on day to day basis
  • Ensuring team adhere to regulatory requirements and operating procedures at all times.

Wealth Management Team Leader 12mth FTC responsibilities include...

Duties & Responsibilities

Team Leader, Financial Planning Support Role:

Team Leader responsibilities

  1. To plan and co-ordinate work coming into the Support team, ensuring that team members are meeting and exceeding their service targets
  2. To work closely with the Director(s), Financial Planning, providing regular updates on the team’s work
  3. Conduct bi-annual reviews of performance.
  4. Conduct interviews for new staff.
  5. Maintain professional competence and market knowledge.
  6. To coach and develop the skills of team members.
  7. Ensure outputs of team are as required, flagging any issues through MI and reporting.

Client Servicing and 3rd party liaison

  • Act as the main point of contact for clients, 3rd party firms and provider
  • 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).

  1. Maintain the client database. The predominant system is Iress (also known as 1st software/Avelo), in-house software (FileMaker) is also used.
  2. Liaise with the provider to chase business through to completion and update the client, meeting timescales for internal service standards.
  1. Manage the 'remuneration outstanding’ report and use investigative methods to ensure that commissions/fees due to the business are paid in a timely manner
  2. 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

  1. Obtain valuation details from the providers, challenging any data as necessary
  2. Input, print and check valuation report and accompanying notes.
  3. Ensure client reviews are scheduled as per Client Agreements, and fully documented post-meeting


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

Preparation of documents for client meetings

  1. Liaise with consultants regarding any items required for client meetings.
  2. Prepare Letters of Engagement and Client Servicing Agreement

Regulatory Responsibilities

Strict adherence to internal compliance procedures and T&C requirements

  • Adherence to principle of 'best advice’ (if FCA registered)
  • Adherence to principle of 'know your client’ (if FCA registered)
  • Reporting of any suspicious transactions to the MLRO
  • Undertaking training and competence as required by the business

Wealth Management Team Leader 12mth FTC requirements include...


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

Consultant contact