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Client Review Team Leader

Salary: DOE

Location: Various

Primary Objective:

Manage the team to ensure review packs are prepared efficiently and effectively for existing client meetings, including data cleansing and accurate valuations; and provide general administration support.

Team Leader duties and responsibilities:

  • Encourage, promote and lead behaviours in the team aligned and supportive of our core values.
  • Manage performance through 121 activity, training and coaching to ensure role requirements are fulfilled, and objectives and KPIs met.
  • Consider and propose proactive suggestions for continual improvements within the team.
  • Contribute to manager/team leader meetings as required.
  • Ensure compliance and standards are met for the team.
  • Manage client matters that are escalated to you, to ensure a speedy and fair resolution.
  • Ensure the Client Review Procedures Handbook is maintained and updated, liaising with the Academy Manager prior to any changes being made.

Role duties and responsibilities:

  • Conduct review pack preparation – data cleansing, valuations (transact and non-transact) within KPI expectations.
  • Production of accurate valuations for reviews and client/financial planner specific requests within the given timescales.
  • Update full plan information in preparation for analysis and research to satisfy any pre-approval requirements if suitability requested.
  • Manage the LOA process for new business/plan reviews for existing clients, noting requests for information from providers must be actively chased within turnaround timescales.
  • Prioritise any action or query related to missing information in a speedy and efficient manner in accordance with request from the financial planner or colleague
  • Ensure all key administrative tasks are carried out within set deadlines to a high standard of excellence and accuracy, understanding the impact to the business if not adhered to.
  • Process death registrations, change of addresses etc
  • Transfer clients between FS and WM as needed.

Compliance and Security

  • Ensure all relevant business procedures comply with FCA regulation
    In conjunction with guidance from HR ensure compliance with other applicable legislation – e.g. employment, Health & Safety etc
  • Promote and embed a TCF culture in all respective business areas
  • Conduct personal learning, training and assessment exercises in accordance with your individual T&C plans, demonstrating competence in relevant FCA compliance area
  • Report any potential breaches, including weaknesses in current systems to our Compliance Officer/Managing Director.
  • Ensure personal data (client and employee) is securely held and properly utilised in accordance with the principles of Data Protection Act.
  • Handle any complaints in accordance with company procedures and regulatory requirements and ensure compliance with the General Data Protection Act, Employee Handbook and any other guidance which forms part of the day to day role.
  • Report to your Manager any wrongdoing by the company or our employees which fall short of the Whistle blowing business principles.

Other: Undertake all other duties as reasonably required and directed

This Job Description may be reviewed and subsequently amended to better reflect any changes required in the role

To apply, please send your CV to Jo Nickell-Lean, HR Manager: jo.nickell-lean@ellisbatesgroup.com in addition to a cover letter that details your suitability for this role.