Position Overview & Specifications

Trainee Wealth Management Assistant - No Experience Needed!

This is an entry level position and will provide an excellent opportunity for the candidate to gain experience of the day-to-day running of a Wealth Management Firm as well as insight into the Financial Services sector.

The chosen candidate will be working closely with the Operations & Compliance Manager and Financial Adviser to assist with operational and client administrative and compliance duties.

Excellent attention to detail, good communication skills and a strong work ethic are essential.

Duties will include:

Administrative support to senior staff
Task management and accurate recording of time (using time tracking software)
Regulatory and compliance tasks
Competency and training tasks
Product and procedure related tasks
Ad hoc research duties and collation of information
Maintenance and recording of CPD logs for staff members
Communicating with selected clients, providers, third parties and colleagues
Education/investment webinar download and access /recording
Preparing documentation, presentations and notes
Maintenance of office and compliance filing systems
Ensuring that all compliance and regulatory standards are met and any breaches reported to the Operations and Compliance Manager
Assist senior financial advisors in preparing financial plans for clients
Conduct research and analysis on financial products and investments
Learn and follow company policies and procedures regarding client communication and data privacy

After 12 month of working experience with Ascot Wealth Management the Candidate will be enrolled into an "Paraplanner" Apprenticeship Scheme to develop knowledge and receive The Certificate in Financial Services.

The Certificate in Financial Services includes passing exams: