Simon Hartley Ba(Hons) Fpfs Email & Phone Number

United Kingdom

United Kingdom

• Act as a point of contact within the firm for bespoke advice related technical queries, highlighting any potential systemic advice issues• Member of the group's Investment Committee• Complete central research including quarterly portfolio reviews and annual reviews of all research systems • Provide recommendations on any further research or process changes requiredrelating to advice and compliance practices in line with industry standards • Complete all levels of Suitability Report as requiredand assist in the development and maintenance of Suitability Report templates• Managing and distributing cases in line with paraplanning and pre-approval workflow requirements• Assist in the development of Paraplanners, including ad-hoc file checks and technical support • Conduct pre-approval case checks in line with BBT Group’s Pre-Approval process• Conduct assessments of post-sale file reviews and assessments of adviser remedial action checks, distributing post-sale file reviews to Financial Planners• Provide mentorship to Trainee Financial Planners with regards the paraplanning function • Discuss and identify systemic trends within all file review feedback with the File Review Committee• Assist with the management and implementation of BBT Group’s T&C scheme.• Take a lead role in department recruitment.

Working on High Net Wealth cases across all areas of financial planning. Day to day duties include:Generating Suitability LettersCompiling recommendations Completing Critical Yield CalculationsWriting Confidential Financial Review/Factfind documents Producing IllustrationsEnsuring Advice Standards are metMaintaining compliant filesProcessing business applications Liaising with clients as requiredSubmitting cases to Business Approval Obtaining outstanding ceding scheme informationSJP Platinum Accredited Paraplanner

Wakefield, England, United Kingdom

Working as a level 6 qualified paraplanner I write all types of suitability reports including specialist investments, IHT and trust planning reports as well as complex pension and protection cases. I lead recruitment for the department and am involved with training other team members, providing exam support and guidance as well as assisting with the day to day operations of the paraplanning unit. This includes reviewing colleagues' work to help develop their own capabilities, carrying out quarterly '1-2-1' reviews, managing workloads within the team and onboarding new starters.I apply my experience from across all of my roles with BBT to my work; this includes my time spent advising and presenting retirement webinars which I continue to speak on from time to time. I also assist with the internal pre-approvals and compliance processes and have been taking on more responsibility with regards management information as I continue to expand upon my experience within the leadership team. I undertake and lead additional/ad-hoc project work and can support the other departments where necessary.

Developed relationships with new and existing clients to help them understand and arrange their long term financial plans to achieve their goals; including protecting income, growing capital, planning for retirement and preserving their estates. Specialised in dealing with those from the teaching profession.Completing accurate, compliant and meaningful Fact-Finds in order to ensure that I could provide my clients with the best possible holistic solutions to address any and all of their needs. Ensuring clients were comfortable with key investment concepts such as risk versus reward, investment term and capacity for loss when completing risk profiling assessments with them relative to their goals and circumstances.Taking instructions for wider Estate Planning requirements as an affiliate member of the Society of Will Writers, making referrals to BBT Estate Planning for Wills, Power of Attorney and Trust arrangements.Presenting planning for retirement webinars to potential new clients to generate opportunities for myself and other advisers whilst also working towards business targets as agreed in T&C meetings.

Wakefield, United Kingdom

Worked as a diploma qualified paraplanner involved with writing suitability reports covering all areas the firm is authorised to work in, including but not limited to; investment, protection, pension and tax planning cases. I used various research packages including; FE Analytics, CashCalc, Select-a-Pension, LifeQuote, AMS Retirement, Ethical Screening, Iress Exchange, Defaqto and Paraplanning Online. Dealing with technical queries from other internal departments and maintaining client files with appropriate research on internal client management systems (Iress/Adviser Office & Intelliflo Office). Assessing the suitability of the advice being given to ensure it is in line with BBT Group standards and ethos. Working with advisers to ensure all fact-finding and risk-profiling documents are completed fully and accurately. Take part in ad hoc projects related to GDPR, MiFID II and Novation of Policies as a result of the firm transitioning to being Directly Authorised from an Appointed Representative of a Network.

Alongside my paraplanning role I am involved with BBT Group's Investment Committee, undertaking initial research, analysis and reporting as part of the company's Central Investment Proposition quarterly reviews; sharing my findings with senior Investment Committee members. Helping to produce supporting portfolio documents that are used in client meetings and suitability reports.Other tasks have involved monitoring the panel status of the portfolio's funds and meeting regulatory requirements.

Wakefield, United Kingdom

Liaising with Financial Planners and internal teams as well as providers and clients throughout the new business journey. Processing/trading new and existing investment and pension business via provider platform software. In addition to processing business I was involved with the compilation of suitability reports, including preparation of supporting documentation and producing both annual and ad hoc valuations. Shadowed and assisted senior team members when completing the rebalance process associated with the firm's Central Investment Proposition.

Wakefield, United Kingdom

As my first role within the Financial Planning sector I was an administrative point of contact for both advisers and clients. I would liaise with consultants, internal teams, providers and clients to ensure smooth running of all admin tasks. Processing new and existing investment, protection and pension business. Utilising client management systems and ensuring all compliance standards are met and enforcing data protection.

Huddersfield, United Kingdom

Lead a class of over 20 first year students fortnightly. Prepare presentations, admin record duties such as attendance register, grades and feedback. Be a friendly face while students settle into university life, be approachable and able to communicate ideas effectively and in different ways. Provide a source of information as an alternative to speaking to lecturers. Lead activities such as class debates and presentations.

Advanced Diploma In Financial Planning, Fellow & Chartered Financial Planner

Advanced Diploma in Financial Planning European Financial Planner Designation Diploma in Regulated Financial Planning Diploma in Financial.

Bachelor’S Degree, Accountancy & Finance (Hons)

Activities and Societies: Peer Assisted Learning Scheme Leader. Investment Portfolio Management 3rd Place Baker Tilly Event Award Winner.

A-Levels, Maths, Further Maths, Economics, Spanish, General Studies

A-Level Results: Maths (A), Further Maths (C), Economics (B), Spanish (B), General Studies (B) AS-Level: Critical Thikning (C) • Foreign.

High School, Gcse'S

Activities and Societies: Deputy Head Boy, Student Council Representative, Senior Student, Solutions for the Planet - National Finalist.