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Financial Services



Type of Position: Financial Planning Executive
Pay: £40-50k

Financial Planning Executive

Our client is looking for a Financial Planning Executive to join their team.  You will receive help to build and develop the skills you require to become competent as an adviser in your own right, through initially undertaking a structured training plan during which you will be fully supported by a dedicated mentor, and also your peers. 


Key responsibilities:

  • Supporting business needs of the company and understanding the structure of the business;
  • Identifying ways to develop your knowledge of the Financial Services industry and keep up to date; e.g. attend industry seminars, workshops and briefings to start building up knowledge of the theory;
  • Understand the client's values, proposition, investment philosophy, risk profiling and use cash-flow modelling tools and theory.
  • Building strong relationships across teams and with third-party product providers. 


As you gain qualifications and experience your role will evolve and include the below areas: 

  • This is not a regulated position, meaning that no regulated activities may be undertaken (for example giving advice or opinion as to the suitability of any particular solution). 
  • Key focus will be to support the SM with client focused activity (pre and post-meeting preparation, building cashflow, advice reports). 
  • May be required to support strategic projects within the business, and lead generation. 
  • Generally work 1 on 1 with Partner or Senior Partner within Sales Team. 
  • Take charge of advice delivery process from start to finish, including meeting notes and preparing advice on behalf of colleagues within the team. 
  • Develop communication skills and advice/sales techniques, including face to face and telephone skills. 
  • Understand end to end advice delivery process. 
  • Complete product, tax and regulatory training modules/courses.
  • Achieve minimum Level 4 Diploma status, and begin working towards Chartered Financial Planner Status.
  • Achieve stated KPIs and meet required regulatory standards.
  • Complete and record CPD and maintain FPE Development Portfolio in accordance with the company Learning & Development Scheme, which will be used as evidence for progression.
  • No commercial targets.
  • When SM and role holder believe and can evidence FPE is ready to start taking on responsibility for clients and conducting regulated activities, a formal regulatory assessment will be completed and if the appropriate standard is met, the regulatory approval process will be commenced. 


Knowledge, Skills and Experience: 


  • Ambitious and goal-orientated;
  • An adaptable and flexible approach to work within a changing environment;
  • Experience of working unsupervised with a high level of self-motivation;
  • Excellent interpersonal and communication skills;
  • A high standard of personal organisational and time management skills;
  • Ability to take control and drive your own development and study time;
  • The capability to explain complex information simply and clearly;
  • Discretion and an understanding of the need for client confidentiality;
  • Experience of working to targeted service standards and procedures;
  • Good IT skills covering MS Office, MS Outlook, MS Excel and back office systems.


  • Experience within Private Independent Wealth Management;
  • Experience of complex report writing;
  • Part FPC/RO/CF qualified or working towards attaining the CII Diploma;
  • A full driving licence is useful, particularly if you are supporting independent financial advisers (IFAs) who may have to travel to visit clients at their own homes. 


If you are interested in this position, please email your CV to 

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