Emma James Email and Phone Number

• Firm’s supervisor for all Financial Planners, Paraplanners, Mortgage Advisers and General Insurance Managers• Creation of, and ongoing responsibility for the Training & Competence Scheme that encompassed all staff including those in administration roles• Developed the firm’s incentive scheme in order to ensure advisory staff exhibit the appropriate behaviour throughout the year• Monitor KPIS, identifying trends and making recommendations to the Board of corrective action• Undertake General Insurance file checks in order to establish that staff are meeting company standards• Hold one to one meetings with all staff giving advice to manage performance and identify and implement development plans• Accountable for induction of new advisory staff to ensure that they reach competent status within the prescribed timescales• Responsible for updating and implementing new processes in line with regulatory developments• Devised and implemented a pre-approval process for esoteric products and pension transfer cases to mitigate risk for the firm• Created and continuously monitored and adapted centralised investment propositions in line with FCA rules for demonstrating independence

• Support to the firm’s Managing Director (CF10, CF11)• Responsible for ensuring file quality is maintained and successfully delivered improvement to all company advice files• Creation of company processes manual to ensure compliance with regulatory and company standards• Developed and implemented the Investment Risk Management Committee which has oversight of all advice areas that the firm operates under

• Responsible for drafting client suitability reports• Sourcing up to date valuations for pension and investment portfolios including all products on the Retail Investment Product list• Undertake research both independently and with Financial Planners to identify suitable solutions to meet client requirements• Ensure that suitable recommendations are made and challenge advice when and where required• Client liaison with responsibility for ensuring end to end service proposition• Identification of areas for planning

• Providing advice on capital investment and regular savings and recommending suitable solutions• Identifying protection and retirement planning needs and making appropriate recommendations• Working toward and achieving income targets to assist with company objectives• Team Quality Assurance champion to assist with the improvement in team file quality• Developing and implementing franchise quarterly business plan in order to meet targets • Responsible for training of lead providers in order to ensure quality referrals are made

• Providing key support to a Relationship Manager in order to maintain a portfolio of affluent clients• Responsible for control procedures including anti-money laundering checks and new account sanctions• Responsible for the resolution and escalation of customer concerns and queries in line with FSA guidelines

• First point of contact for all inbound telephone queries• General account management and conducting account reviews in order to generate lead opportunities

• Responsible for effective management of the Deputy Home Secretary’s diary• Drafting of ministerial correspondence and liaising with other government departments to assist with drafting responses to Prime Minister’s Questions

• Responding to enquiries from the general public in matters relating to animal welfare• Devising, implementing and maintaining the filing system for all correspondence and ministerial questions