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Location London
Salary Competitive + Discretionary Bonus + Benefits
Mergefield Title {Mergefield Value}

This is a {Advertised Permanent / Temporary}, {Advertised Full Time / Part Time} vacancy that will close in {x} days at {xx:xx} BST.


To support Advisers, and ultimately clients, in the advice giving process with suitability reports, product research and technical analysis.


  • Discuss client objectives with the Adviser during debrief. Identify any shortfalls in client information and discuss with the Adviser.
  •  Request and review all necessary information and undertake financial analysis to produce financial reports for discussion with the Adviser.
  • Undertake research to identify suitable solutions to meet the client’s needs.
  • Request and obtain information/comparisons for analysis by the Adviser within agreed timeframes.
  • Consider current and future allocation of assets for investment strategy with regard to client risk profile.
  • Check all compliance paperwork and internal sign off documents are present.
  • Prepare draft recommendation reports to be discussed and signed off by the Adviser. Ensure any recommendations detailed in a report are in line with any internal guidance/procedures and the up to date report template is used.
  • Request and obtain application forms and other associated paperwork.
  • Submit paperwork when advice taken up in accordance with Company procedures. Ensure all paperwork is in order.
  • Ensure appropriate data is accurately recorded on Company back-office system(s) and updated in line with Company procedures.
  • On-going servicing of clients, for example withdrawals or fund switches.
  • Ensure adherence to Department’s and Company procedures, including all Compliance guidelines, and Department’s Key Performance Indicators (KPIs)/objectives.

Regulatory Responsibilities (Compliance/T&C)

  • Understand, follow and demonstrate compliance with all relevant internal and external rules, regulations and procedures that apply to the conduct of the business. Follow principles and rules of the Financial Conduct Authority (FCA) and the internal requirements set out in the Compliance Manual, local and Group Compliance and Risk policies.
  • Ability to demonstrate an understanding of the regulatory framework relevant to the role, whilst practising effective risk management taking account of outcomes for clients.

As an approved person you must accept responsibility and demonstrate an understanding for the regulatory aspects and framework of the FCA controlled function that you perform, and ensure you meet and abide by the rules of the FCA’s fit and proper test, and comply with the FCA’s Statements of Principle and the Code of Practice. Additionally you must ensure your compliance with all internal policies, procedures and standards.



  • You have a Regulated Diploma in Financial Planning (CII) or Diploma in Financial Planning. 
  • You have an understanding of the Financial Planning process, including any Paraplanning department’s processes and procedures, and ensure that these are followed in all instances.
  • You have the ability to work within defined business processes and to achieve agreed outcomes without supervision.
  • You also have the ability to multi-task and to prioritise and plan own workload.
  • You have strong IT skills.
  • You have good report writing and communication skills.
  • You have a “can do” approach.



  • Have strong IT skills in Word and Excel as well as in a range of in-house and 3rd party software tools, such as IO/AO/X-Plan, Financial Express Analytics, O&M Pension Profiler.

At Close Brothers we look to recruit individuals from all different backgrounds and encourage you to apply even if you don’t tick every box. We celebrate diversity, promote inclusivity and are open to discuss flexible work options to help you balance your work and home life.

We appreciate that from time to time, recruitment agencies will have speculative CVs that they may wish to submit to our Talent Acquisition team in relation to a specific role.

To avoid any ambiguity around fees, please note that speculative CVs received by Close Brothers, that have not been authorised in advance, by us, will be ineligible for an agency fee. Thank you.


We are the Asset Management division of Close Brothers, a FTSE 250 leading UK merchant banking group. Our clients are professionals, business owners, individuals, families, and employers, who rely on our high-quality financial advice and investment services to preserve and grow their long-term savings and investments.

We are based throughout the UK, employing circa 800 people across 11 offices. Through our widespread geographic footprint, we are able to achieve strong, long-term relationships with our clients, by combining our understanding of the local regions we serve and face-to-face services.

 We know that outstanding individuals help drive our business forward, deliver exceptional service for our clients and continue to build Close Brothers’ long standing reputation as a leading merchant banking group.

Private medical

Discounted health checks

Stakeholder pension contribution

Gym discounts

Cycle to work scheme

Save As You Earn scheme

Purchase additional holiday

At Close Brothers, we are dedicated to helping the charities that matter most to our employees. Our donations continue to increase year on year thanks to our fundraising efforts and matched giving schemes to our employees’ favourite charities. We continue to seek out new ways to give as a group and to help employees who give their valuable time and money to causes close to them.

To find out more detail please follow the link below:

Sustainability is fundamental to our purpose, and we recognise that to help the people and businesses of Britain thrive over the long term, we also have a responsibility to help address the social, economic and environmental challenges facing our business, employees and customers, now and into the future.

To find out more detail please follow the link below:

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