Financial Adviser - Berkswell

Artemis Recruitment Consultants; Berkswell; On-site; GBP 60,000 - 80,000; Full time

Job summary

A recruitment agency seeks a Financial Adviser in Berkswell to provide advice to clients based on their circumstances. The role includes prospecting clients, managing client portfolios, ensuring compliance with regulations, and maintaining professional standards. A level 4 Diploma is required with the aim for Chartered status. This position can be employed or self-employed.

Qualifications

• Good understanding of relevant legislation affecting the industry.
• Ability to understand the operating environment and related issues.
• Excellent written and oral communication skills.

Responsibilities

• Prospect and contact potential clients per business plan.
• Ensure sufficient client information is obtained before recommendations.
• Follow advice and sales procedures consistently.

Skills

Understanding of relevant legislation

Good communication skills

General IT skills

Ability to compile reports

Education

Level 4 Diploma aiming for Chartered status

Job description

Financial Adviser - Berkswell

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

• 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
• Making sure you follow relevant advice and sales procedures at all times
• Making sure portfolios are managed in accordance with the client’s mandate, objectives and the firm’s investment proposition
• Undertaking appropriate product and market research
• Making sure suitable recommendations are made at all times
• Making sure all supporting documents are maintained
• Making sure all clients are contacted in accordance with the agreed level of services offered
• Making sure clients receive relevant documentation in a timely way
• Dealing with client queries in an efficient and timely manner
• Ensure that client’s are treated fairly, in line with “TCF” principles
• 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.
• Making sure a current statement of professional standing (SPS) is held at all times
• Making sure relevant CPD is maintained and recorded accurately
• Maintaining all standards of performance as required by the firm
• Obtaining and maintaining the level of competence as required by the firm
• Maintaining standards to ensure you remain “Fit & Proper” for the role

General responsibilities

• 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.
• Responding to all Compliance department requests on time
• 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
• Having a positive culture attitude at all times
• Keeping up to date with relevant regulatory, product, legislative and technical requirements
• Making sure all client contact is carried out in a professional and courteous way
• Making sure all client files are compliant on an ongoing basis
• Making sure all client records are retained in line with the firm’s Data security / data protection / record keeping policy
• Liaising with admin support, Paraplanners, and other team members as appropriate

Relevant experience, skills and knowledge

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

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

Qualification requirements

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

• The minimum level is “level 4” Diploma with the aim of achieving Chartered status