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Job Description

Under MiFID II this is an Information Giver Role. The role may include discussing information with clients, without the role holder giving their own views or recommendations about the appropriateness for the client of any particular regulated product.

Job Purpose
  • To support the Wealth Planners to compliantly and effectively conduct the advice process.

  • To support the cost effective and timely delivery of suitability reports, compliant research collateral and other approved means such as presentations and cash flow models, for use by Wealth Planners.

  • To actively contribute to the governance and financial performance of the Wealth Planning team through the identification of process improvements, advice opportunities and best practice.

  • To contribute to the delivery of any projects as directed by the Senior WPE.

  • To assist in the development and maintenance of long-standing business relationships with target HNW clients.

  • To build good working relationships with key stakeholders in the business to promote the value of Paraplanning.

Key Responsibilities

Supporting Client Management:

  • Support the Wealth Planners in developing, growing and retaining their portfolio of HNW clients through undertaking product and fund research and analysis of client data to prepare compliant suitability reports.

  • To work collaboratively with Training & Competence (T&C) and Compliance to endeavour to produce high standard, low risk suitability reports and files.

  • Deal with client affairs with integrity and efficiency at all times and in a manner that is in keeping with the standards required by HNW individuals.

  • Play a significant part in the service delivery by having a key role in the advice construction process.

  • Attend client meetings with the Wealth Planner/Banker/Investment Manager as and when required.

  • Produce cashflow reports using Voyant and assist the Wealth Planner in the delivery and presentation of the cashflow to clients as requested by the Wealth Planner.

  • To update all relevant trackers as directed by the Senior WPE.

  • To actively participate in Paraplanning team meetings and share best practice as necessary.


General Administration

  • Investment, pension, protection and estate planning product testing, meeting with providers where appropriate to ensure the provider panel remains up to date as requested by the Senior WPE.

  • To work within and support the Paraplanning team function, as directed by the Senior WPE.

  • To provide support to the Business Management function with the review of processes and procedures and third party tools as requested.

  • To liaise with Product Governance with regards to provider liaison and product testing as directed by the Senior WPE.
  • Assisting Senior WPE by liaising with T&C and Compliance to ensure the business is in line with regulatory requirements, including file checking, product research and preparing suitability letters (tools and systems used include Financial Express Analytics, Exchange, SelectAPension, ThreeSixty, Martin Churchill and Voyant).

  • Assisting the Wealth Management Assistants to ensure that client records are accurate and up to date across internal records (including Salesforce and Virtual Cabinet).

  • Communicating with clients and providers as necessary via telephone, post or email.

  • To contribute to the design and maintenance of advice and communication templates, and process design by liaising with T&C as necessary.
  • Be a mentor to a colleague where requested.


Key Interfaces

  • Fellow WPE

  • Senior WPE

  • Wealth Planners

  • Wealth Management Administrators

  • Head of Wealth Planning

  • Wealth Planning and Investment Management Business Management team

  • WPManCo

  • T&C team

  • Compliance team

  • Private/Commercial Banking team

  • Investment Management team

  • Clients (and client representatives)

  • Third Party Providers


Person Specification

Knowledge & Experience

  • Good experience as a Wealth Planning Executive (Paraplanner).

  • Good knowledge of holistic Wealth Planning considerations and advice construction disciplines.

  • Good knowledge of investment, pensions, protection, estate planning and banking matters relevant to holistic Wealth Planning solutions.

  • Previous experience supporting Wealth Planners.

  • A good understanding of the HNW segment and market.

  • Understanding the heavily regulated Financial Planning environment.

  • Must be able to respond to the changing needs of the business.



  • Demonstrated competency and sound operating knowledge in any of the following technical systems and packages, would be highly desirable - Salesforce, Financial Express Analytics, Exchange, SelectAPension, ThreeSixty, Martin Churchill and Voyant.
  • Proficiency in using Microsoft Office programs.
  • Work in a team environment and demonstrate continued professional development.
  • Effective communicator with excellent written, verbal and presentation skills.
  • Outstanding interpersonal and relationship skills.
  • Able to maintain high level of confidentiality, diplomacy and discretion.
  • Excellent attention to detail.
  • Relationship development and enhancement with colleagues, other departments and clients.
  • Excellent self-organisation and must be able to manage oneself and enable others to be effective. Possess the ability to prioritise, effectively multi-task, and deliver against demanding timescales.



  • Diploma in Financial Planning (Level 4) or equivalent essential.
  • Advanced Diploma in Financial Planning (Level 6) desirable.


Core Competencies

  • Client Focus

  • Performance Focus

  • Business and Commercial Focus

  • Team Working

  • Influencing and Persuading

  • Planning and Reviewing

  • Judgment and Problem Solving

Communication & Confidence
About Us
Arbuthnot Latham is an independent Bank offering comprehensive Private and Commercial Banking, Wealth Management and Investment Management services.  Serving its customers since 1833, Arbuthnot has successfully navigated many turbulent periods of economic instability and has a long track record of profitability. Today it has offices in London, Exeter, Manchester and Dubai where it manages the financial affairs of c.3,500 HNW individuals and 100 corporates. Arbuthnot Latham prides itself on the quality of its service and has built its reputation on understanding the needs of its clients.