Financial Adviser

Artemis Clarke Ltd; Harrogate; On-site; GBP 60,000 - 100,000; Full time

Job summary

Artemis Clarke Ltd in Harrogate seeks a Financial Adviser to join its team on a self-employed basis with high earning potential. You will advise clients based on their circumstances and objectives, and manage their portfolios in line with the firm's investment proposition.

The role emphasizes compliance, professional development, and delivering suitable recommendations while maintaining SPS and CPD records to support Chartered progression.

Qualifications

• Understanding of financial services regulations.
• Strong written and oral communication skills.
• General IT skills.

Responsibilities

• Prospecting and contacting potential clients in accordance with the firm's business plan.
• Ensuring sufficient client information is obtained before any recommendation is made.
• Following relevant advice and sales procedures at all times.
• Managing portfolios in accordance with the client's mandate and the firm's investment proposition.
• Undertaking appropriate product and market research and ensuring suitable recommendations are made.
• Identifying vulnerable clients and adapting advice accordingly.
• Maintaining a current Statement of Professional Standing (SPS) and CPD records.
• Following the firm's compliance processes and procedures at all times.
• Complying with the Financial Services and Markets Act 2000 and FCA rules.
• Keeping up to date with regulatory, product, legislative and technical requirements.
• Liaising with admin support, paraplanners and other team members.

Skills

Regulatory knowledge

Communication skills

IT skills

Education

Diploma level 4

Job description

Financial Adviser

Our client is looking to welcome a Financial Adviser to their team based in Harrogate. This is a self-employed opportunity with high earning potential, advising clients as appropriate to their circumstances and objectives.

Specific Responsibilities

• Prospecting and contacting potential clients in accordance with the firm's business plan
• Making sure sufficient client information is obtained before any recommendation is made
• Following relevant advice and sales procedures at all times
• Managing portfolios in accordance with the client's mandate, objectives and the firm's investment proposition
• Undertaking appropriate product and market research and ensuring suitable recommendations are made
• Identifying clients who are in vulnerable or potentially vulnerable circumstances and adapting advice accordingly
• Maintaining a current Statement of Professional Standing (SPS) and relevant CPD records

General Responsibilities

• Following the firm's compliance processes and procedures at all times
• Complying with the Financial Services and Markets Act 2000 and relevant FCA rules at all times
• Keeping up to date with relevant regulatory, product, legislative and technical requirements
• Liaising with admin support, paraplanners and other team members as appropriate

Relevant Experience, Skills and Knowledge

• Good understanding of relevant legislation affecting the industry
• Good written and oral communication skills, and general IT skills
• Minimum Level 4 Diploma, with the aim of achieving Chartered status