Client Services Associate

Purpose

To assist Advisers with providing an exceptional ongoing service to clients as well as supporting with the onboarding of new clients into the business.

• Support Advisers in ensuring the annual ongoing suitability targets are met by setting up meetings, attending meetings and completing the relevant post-meeting documentation.
• Creating Statements of Suitability (SOS) for clients post meeting and ensuring the annual review process is completed in a timely manner.
• Help to input and process new business application forms, including GIA/ISA/SIPP, VCTS/EIS, Protection & Bonds, ensuring client accounts are set up correctly, including fee rates and account groups.
• Set up fee estimations on Commpay and ensure timely processing of initial fees.
• Complete new business cases on the CRM system (Xplan), including advice events, ensuring the system is kept up to date.
• Maintain compliant advice files in Practice Management System (Xplan).
• Be a second point of contact for clients to assist with queries and updates on transfers.
• Action dealing instructions directly from clients and the Advisers for ongoing placement including switches, rebalances, investing monies and raising funds.
• Process bond encashments and withdrawals.
• Take responsibility to ensure that all client communication is accurate, appropriate & delivered at the right time, including emails, letters and reports.
• Liaise closely with 7IM’s Operations team to ensure full communication and understanding, minimising errors and maximising service levels.
• Continually look at ways to enhance operational systems and procedures to maximise efficiencies, e.g., Xplan.
• Continually suggesting realistic & appropriate improvements and solutions to problems to your line manager and others across 7im and review/create procedures when required.
• Filing, in accordance with 7IM and FCA procedures.
• Subscribing to 7IMs declared Mission and Tenets, & to Treating Customers Fairly (TCF) initiatives.
• Ensure the 7IM VPVPs (Vision, Purpose, Values and Personalities) are followed throughout your working practices.
• Other duties, as reasonably required by the line manager and 7IM.

• Accuracy and attention to detail
• Organisation of own workload to meet deadlines
• Client‑focused, delivering a high standard of client service
• Must be proactive and able to use initiative
• Good communication skills, both oral and written
• Adaptive to change
• Proficient in MS Word/Excel
• Ability & willingness to identify and suggest improvements in processes/service levels

• Experience in Client Services within Wealth Management is essential
• Minimum of 2‑3 years’ experience in a Financial Services company
• Product knowledge of pensions, bonds and other wrappers
• Experience in the onboarding journey of a new client
• Good working knowledge of all Microsoft Office applications, specifically Excel
• Good knowledge of operational administration, including settlement and transfers

• Candidates must demonstrate numeracy & literacy skills to at least A level/Higher standard
• Working towards or completed an industry examination such as CII Level 4 Financial Planning qualification

• Reports into the Client Services Team Manager