Operations Administrator – Serenity Financial Planning

Serenity Financial Planning We Are Change Lincolnshire, Nationwide Posted 2 years ago
Serenity Financial Planning

About the Role

Employer Name: Serenity Financial Planning
Location: Lincoln, Lincolnshire (Preferred)
About the employer: A independent Chartered Financial Planning firm who work with clients from all four corners of the UK.

Key info:

Job role: Operations Administrator
Job description: We are looking for a talented administrator to support the operation of the business, Client Relationship Managers (CRMs) and Financial Planners (FPs) in delivering an excellent service to clients.

Number of vacancies: 1
Working days per week: 5
Working hours per week: 35
Working timings: Monday to Friday
Salary: £26,000 – £29,000 per annum


Financial Planning Administration: 2 years (Required)

Key Responsibilities

Client servicing and ongoing reviews

  • Handling admin-related queries on behalf of the CRMs
  • Supporting CRMs with preparation for client meetings
  • Keeping CRMs and FPs informed of work in progress. Liaise with other team members as necessary for updates and chasing product providers
  • Ensuring the service stated in each client agreement is delivered in a timely manner
  • Creating and maintaining client files to the required compliance standards
  • Sending Letters of Authority and gathering accurate information as per advice process
  • Producing portfolio valuations as requested by CRMs and Financial Planners
  • Obtaining illustrations, application forms and other enclosures for issue with reports


  • Checking accuracy and completeness of documents before processing/submission including anti-money laundering requirements
  • Ensuring all business applications are processed accurately and efficiently in line with both the business’ and relevant product provider’s requirements
  • Checking policy documents and contract notes received from product providers
  • Filing documents correctly in line with latest policies and processes
  • Recording fees accurately
  • Chasing product providers to ensure timely and accurate turnaround times for clients
  • Ensuring all fund switches / rebalances / other transactions are carried out accurately and within the required timescales

General Administration / Other

  • Ensuring back-office systems are kept up to date, including the Serenity client portal
  • Filtering financial planners’ general information, queries, phone calls and invitations?
  • Opening, scanning, logging and allocating incoming post
  • Completing timesheets and updating adviser dashboard
  • Support with business activities such as issuing client birthday cards
  • Participating in internal meetings with aim of continuous improvement
  • Understanding and adhering to the Financial Conduct Authority Tier 1 Conduct Rules
  • Maintaining sufficient knowledge on regulatory matters relevant to own role and tasks (these will be explained during your induction and ongoing training & development)
  • Correctly identifying and escalating issues to the Money Laundering Reporting Officer/Compliance Oversight/financial planner, or management when necessary 
  • Conduct all tasks in line with business processes and compliance policy at all times 


  • Maintaining our Compliance manuals
  • Maintaining our Compliance policies
  • Maintaining our Operations Manual and drafting procedures
  • Maintaining HR records – onboarding new starters and leavers
  • Assist with inducting new employees
  • Conducting annual due diligence on our third-party suppliers
  • Conducting annual data security review
  • Collating data for the bi-annual FCA Gabriel Return
  • Collating data for the Professional Indemnity Insurance renewal
  • Matching cash receipts to fee expectations and maintaining accurate records
  • Producing monthly detailed fee income reports
  • Maintaining back-office system settings

This job description is not exhaustive. Management reserves the right to direct you to perform other tasks which do not require FCA approval or in-house Certification. Any other duties will be of a nature that can reasonably be expected to be in your capabilities based on your knowledge, experience, and demonstrated competency. 

Personal Skills and Qualities


  • Microsoft Word, Excel, and electronic diary management
  • Knowledge of financial services products and basic compliance requirements
  • Trustworthy, reliable and takes pride in their work.
  • Good communicator (both verbal and written) with a pleasant telephone manner and numerate
  • Highly organised, methodical and disciplined
  • Self-motivated and takes personal responsibility for completing tasks
  • Understands importance of compliance and works within defined business processes
  • Adopts a positive attitude, willing to assist other team members even when busy
  • Able to work under pressure on occasion to meet deadlines
  • Assists other team members with enthusiasm, respect, and empathy
  • Able to work independently once training on specific tasks has been completed
  • Uses initiative appropriately without acting outside of role remit/crossing regulatory boundaries


  • Experience of financial Services back-office systems 
  • Advanced Excel 
  • Knowledge of cash flow modelling tools 


  • At least 2 years working within a financial planning environment – Essential 
  • At least 2 years’ administration/customer service/account management – Desirable 
  • Previous PA experience from within financial services industry – Desirable 


  • Willing to obtain relevant qualifications and undertake Continuous Professional Development (CPD) – Essential 
  • CII/PFS Diploma in Regulated Financial Planning or progression towards – Desirable

This job description forms part of your contract of employment. 

Vital Stats

Job Category



Lincoln / Remote




£26,000 - £29,000

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