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Financial Planner

Location: Scotland & Bristol

Primary objective:

To generate profitable new business for the firm primarily from lead generation sources (internal/external sources) and identifying own sources of new business through professional connections or internal marketing campaigns to achieve individual expectation targets. Where you are responsible for managing an existing panel of clients, you will deliver ongoing advice suited to their current and future needs and seek referrals. Where required and you have capacity to do so, you will work in conjunction with other Financial Planners in their handover of new clients to maintain that client relationship going forward.

Duties and Responsibilities:

  • Generate new business from leads handed to you by either external or internal parties and through your own sources/initiatives.
  • Work with professional connections to identify new business opportunities.
  • To meet with potential new clients to identify financial planning needs and solutions.
  • To provide quality independent financial advice in accordance with the current regulations and the firm’s standards and procedures.
  • Where appropriate to do so, introduce the client to the wider support team and other services offered by the business.
  • Identify and promote the other services offered by the company including, mortgages and protection, estate planning etc.
  • To establish a relationship with existing clients to the extent that they remain as clients.
  • To provide ongoing advice to any existing clients which reflects their current and potentially changing
  • needs.
  • Build and maintain a strong network of professional contacts.
  • To provide all advice in a clear and concise manner so that clients understand what they have got, why they have it and what it does for them and in a manner so that colleagues can understand and follow.
  • To be able to demonstrate a personal culture of self-development which you improve the adviser and firm’s ability to advise target clients.
  • To comply at all times with the regulations and internal procedures and standards and to put client care as a priority at all times.
  • Identify and suggest improvements to the service proposition.

Other responsibilities

  • To communicate promptly and effectively with colleagues and clients.
  • To value the work and support of colleagues to the extent that they understand positive contributions that they make.
  • Provide honest, open and timely feedback to colleagues.
  • To share ideas which will improve the regulatory compliance, financial performance and brand image of the firm.

Treating Customers Fairly:

  • All employees are required to engage with the company’s “Treating Customers Fairly” policy and will be appraised of their understanding of the culture on a regular basis


  • Your T&C Supervisor is Steven Thompson.
  • Prepare and participate fully in all 1:1/development and activities which assist with achieving PDP objectives and retain accurate records of CPD.
  • Review progress with supervisor on a regular basis.
  • 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.


  • 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.

Key performance indicators (KPI’s):

Ensure all Key Performance Indicators are achieved and are attained compliantly with FSA Regulation. Key Performance Indicators will include:
  • Persistency and complaints log
  • Training & Development records
  • Any targets agreed


  • Handle any complaints in accordance with company procedures and regulatory requirements and ensure compliance with the Data Protection Act, Employee Handbook and any other guidance which forms part of the day to day role.
  • You will report to your Manager any wrongdoing by the company or our employees which fall short of the Whistle blowing business principles.
  • To undertake all other duties as reasonably required and directed.
This Job description may be reviewed and subsequently amended to better reflect any changes in the role.

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