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Paraplanning (J09)

Paraplanning (J09) develops knowledge and understanding of the role of the paraplanner in providing financial services, and how to evaluate and analyse the customer's financial circumstances to provide potential solutions.

The default Enrolment option for this unit includes:

  • Latest version of the core learning content, in digital format only.
  • Assessment entry.

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The financial planning profession has evolved in the last few decades, both in the UK and abroad. The role of the paraplanner has developed in tandem and it may be regarded as a profession in its own right. For the purposes of this study text, a paraplanner is someone who works with a financial planner in providing bespoke financial advice and services.

The core financial planning team typically consists of a financial planner who is responsible for the financial advice given to the client, a paraplanner who provides technical and other support and an administrator who generally has a non-technical role.

A paraplanner’s role may include managing the advice process within the core team, scheduling the key stages, overseeing all aspects from fact-finding and advice formulation, to producing the financial planning report and implementing the agreed actions.

The study text looks at the regulatory, legal and ethical frameworks of paraplanning. It then considers the client’s personal and financial circumstances. The financial planning requirements of the client are also considered before looking at the provision of potential solutions.

Building a successful career in personal finance

Paraplanning (J09) is ideal if you are aspiring paraplanners or if you are currently practising as a paraplanner in the UK and looking to build your technical knowledge and planning skills. Those who do not hold additional CII credits counting towards completion of the Diploma in Financial Planning.

Purpose

At the end of this unit, candidates should be able to demonstrate an understanding of:

  • the regulatory, legal and ethical frameworks of paraplanning;
  • the client’s personal and financial circumstances;
  • the financial planning requirements of the client;
  • providing potential solutions.

Assessment

  • Three written coursework assignments, each typically 2,000 to 3,000 words
  • The pass rate for those completing the unit in full is currently 76.8%
  • The nominal pass mark is 65%

Study material – editions available

Enrolment (12 months).