Wealth Client Liaison Administrator

  • Job Reference: IMG00163895
  • Date Posted: 12 May 2022
  • Recruiter: Enable FLP
  • Website: https://discoverstortford.co.uk/
  • Location: Bishops Stortford, Hertfordshire
  • Salary: On Application
  • Sector: Administration, I.T. & Communications
  • Job Type: Permanent

Job Description

Overview of role

To ensure that all Wealth clients are booked in for an annual review (where the client wants one) within 12 months of their last annual review

General responsibilities

  • Liaising with colleagues, advisers, clients and providers as required in a professional, courteous and timely manner
  • Answering/making phone calls in accordance with company policy in a professional manner and following security protocols to validate the client
  • Ensuring client data is securely processed/transferred in every instance
  • Complying with all company policies at all times
  • Maintaining competence in Continuing Professional Development (CPD) as directed by the Compliance Manager
  • Dealing with client queries in an efficient and timely manner
  • To cover colleagues’ work in the event of holiday, sickness or other required reason

Specific responsibilities

The candidate to be trained in both job roles so that they can be multi-skilled and cover for colleagues as required.

Role 1 – Client liaising

  • Collate client annual review info using Excel, Outlook and FinPlan
  • Send a monthly list of potential client annual reviews to the adviser to check and make comments on a rolling monthly basis
  • Check the status of client’s risk documents (Attitude to Risk & Capacity for Loss) and re- issue to client where out of date
  • Complete ‘Update Financial Details’ form and issue to client – chasing for its return as appropriate
  • Contact the client via telephone, e-mail, portal message as appropriate to offer the client an annual review. Where several attempts without success have been made, issue a final letter to the client
  • Making appropriate notes and moving the date forward on FinPlan where the client doesn’t want a review at this time / flagging for the adviser re ongoing charges appropriateness
  • Co-ordinate booking the annual review with the client factoring in the adviser’s availability and any preferences
  • Making clear and accurate notes on FinPlan client management as to the contact history and action taken in trying to book the client in for their review
  • Maintain accurate statistics on the process such as % contacted, % having a review etc.
  • Obtaining policy information from Providers via LOA’s as appropriate and referring DB policy info to the correct Paraplanner to update FinPlan (& Voyant)

Role 2 – Meeting pack preparation

  • Make use of both the Outlook diary and FinPlan workflow to time the preparation of meeting packs correctly
  • Obtaining up to date valuations for all applicable policies for the review meeting, including bid price, number of units and value together with the fund name(s)
  • Checking withdrawals, contributions and Model from Provider matches the info held on FinPlan – updating FinPlan where necessary
  • Creating Medium Scans and or obtaining Fund Sheets to show fund performances for all applicable holdings managed by us
  • Producing Nucleus/Transact narrate reports for the last 12 months for each client
  • Producing Capital Gains reports for each client (where applicable – GIA account present)
  • Producing FinPlan Portfolio Report for client(s)
  • Obtaining Annual Management Charges info for Voyant meetings
  • Clarifying terminal bonus, MVR & last 3 years bonus rates for With Profits holdings
  • Assess client’s current overall risk status (ATR + CFL) and either issuing a MiFid letter were appropriate or make notes as to why this isn’t currently possible
  • Create Portfolio Rebalance Authority for each client including a .pdf version for clients on the Enable Portal
  • Create GIA to ISA letter for each client where appropriate including a .pdf version for clients on the Enable Portal
  • Check that we hold a current in-date and signed copy of our TOB on file and where not present, issue a copy to the client
  • Check completed Death Benefit Nomination Form is held on FinPlan, is in the DBNF folder and a copy is included within the meeting pack (together with a blank copy)
  • Check previous meeting minutes for useful info and file all reports in the meeting folder
  • Produce a meeting cover sheet for all face-to-face meetings
  • Ensure detailed notes are made within the client management framework of the actions taken in preparing the meeting pack, all tabs are up to date (eg DBNF) and the next action has been set for the appropriate caseworker
  • Send the meeting pack to the client(s) via post, the portal or via adviser (printed pack)
  • Notify the adviser (and paraplanner if Voyant) once the meeting pack has been completed for them to check and action as appropriate


Make the necessary adjustments as advised by the adviser where notification is given 48& hours prior to the meeting

Relevant experience, skills and knowledge

We expect an individual performing this role to have the following:

Good communication and organisation skills, including the ability to time- manage/prioritize

  • Good attention to detail, working on own initiate and or as part of a team
  • Computer literate
  • A strong work ethic