Financial Adviser

Our client is looking to welcome a Financial Adviser into their team in Berkswell, to advise clients as appropriate to their circumstances and objectives. This position can be either employed or self-employed, with a client bank provided by the practice.

Specific responsibilities

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• Prospecting and contacting potential clients in accordance with the firm’s business plan
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• Making sure sufficient client information is obtained before any recommendation is made
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• Making sure you follow relevant advice and sales procedures at all times
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• Making sure portfolios are managed in accordance with the client’s mandate, objectives and the firm’s investment proposition
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• Undertaking appropriate product and market research
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• Making sure suitable recommendations are made at all times
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• Making sure all supporting documents are maintained
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• Making sure all clients are contacted in accordance with the agreed level of services offered
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• Making sure clients receive relevant documentation in a timely way
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• Dealing with client queries in an efficient and timely manner
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• Ensure that client’s are treated fairly, in line with “TCF” principles
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• Ensure that you can identify clients who are in vulnerable or potentially vulnerable circumstances, in order to treat them fairly, and provide appropriate advice and adapt the services/advice provided accordingly.
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• Making sure a current statement of professional standing (SPS) is held at all times
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• Making sure relevant CPD is maintained and recorded accurately
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• Maintaining all standards of performance as required by the firm
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• Obtaining and maintaining the level of competence as required by the firm
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• Maintaining standards to ensure your remain “Fit & Proper” for the role
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General responsibilities

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• Making sure you follow the firm’s compliance processes and procedures at all times for example; T&C, complaints, financial crime, anti-money laundering, anti-bribery, data security, data protection, conflicts of interest, inducements, record keeping, best execution etc.
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• Responding to all Compliance department requests on time
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• Complying with the Financial Services and Markets Act 2000, the FCA’s Conduct rules / FCA Statements of Principle & Code of Practice and the relevant rules from the FCA at all times
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• Having a positive culture attitude at all times
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• Keeping up to date with relevant regulatory, product, legislative and technical requirements
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• Making sure all client contact is carried out in a professional and courteous way
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• Making sure all client files are compliant on an ongoing basis
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• Making sure all client records are retained in line with the firm’s Data security / data protection / record keeping policy
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• Liaising with admin support, Paraplanners, and other team members as appropriate
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Relevant experience, skills and knowledge

We expect an individual performing this role to have the following Experience, Skills, and knowledge:

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• A good understanding and knowledge / awareness of relevant legislation that affects our industry/profession
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• The ability to take on and understand the environment we operate it, and the issues this raises
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• Good written / oral communication skills
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• General IT skills
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• Ability to compile reports
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Qualification requirements

We expect an individual in this role to hold the following qualifications:

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• The minimum level is “level 4” Diploma with the aim of achieving Chartered status
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If you are interested in this position, please email your CV to Josie at Artemis Recruitment.