Desk Based Financial Adviser

North Oak Recruitment; England; Hybrid; GBP 60,000 - 80,000; Full time

Job summary

A recruitment agency is seeking a Desk-Based Financial Adviser in Leicestershire. This role involves conducting client reviews and delivering tailored financial recommendations in a hybrid working environment. Ideal candidates should possess a Level 4 Diploma in Financial Planning and strong communication skills. A commitment to professional standards is essential.

Qualifications

• Commitment to maintaining Fit and Proper status under FCA rules.
• Understanding of conduct and professionalism.
• Experience in remote financial advice delivery.

Responsibilities

• Conduct annual client reviews as per service agreements.
• Implement necessary adjustments for clients.
• Deliver suitable financial recommendations.

Skills

Strong written and verbal communication skills

High attention to detail

Ability to work independently

Education

Level 4 Diploma in Financial Planning

Tools

CRM and financial planning software

Job description

Overview

DESK-BASED FINANCIAL ADVISER

Leicestershire, Hybrid offering office & remote working with internet access

Salary c£35,000 + bonus

Our Ref AL1387

Key Responsibilities

• Conduct annual client reviews in line with service agreements.
• Assess the ongoing suitability of clients existing financial arrangements.
• Implement necessary adjustments (e.g., fund switches).
• Advise on straight-forward transactions such as top-ups and withdrawals.
• Identify and escalate complex advice needs to senior advisers.
• Gather and analyse sufficient client information to support advice.
• Collaborate with the Paraplanning Department by providing required documentation and data.
• Deliver suitable financial recommendations based on client needs and objectives.
• Maintain accurate and complete supporting documentation for all advice given.

Client Review Process

• Notify clients of upcoming review dates.
• Clients update their Fact Find information via secure login.
• Adviser reviews and updates client records accordingly.
• Post-review queries handled electronically (email or phone).
• Execute templated actions such as increasing contributions and opening ISAs
• Complex advice needs will be referred to a field-based adviser.

Compliance & Professional Standards

• Training will be provided to ensure compliance with all relevant regulations and company policies.

Qualifications & Experience

Essential:

• Level 4 Diploma in Financial Planning (or equivalent)
• Strong written and verbal communication skills
• High attention to detail and ability to work independently
• A clear understanding of the importance of conduct and professionalism at all times
• Commitment to maintaining Fit and Proper status under FCA rules, including honesty, integrity and reputation, competence and capability, financial soundness, and ongoing CPD and ethical standards

Desirable:

• Experience in remote financial advice delivery
• Familiarity with CRM and financial planning software
• Understanding of paraplanning processes

If this role is of interest, please apply with an up to date CV. We aim to respond to all applications within 10 days. By submitting your CV you consent to it being retained for use in connection with this and future relevant and/or similar vacancies, you can of course, opt out of this at any time by emailing us. Full Privacy Notice can be found on our website.