Financial Adviser - Cornwall

Artemis Recruitment Consultants; Cambridge; On-site; GBP 30,000 - 50,000; Full time

Job summary

A leading recruitment consultancy is seeking a Financial Adviser to join their team in Cornwall. The successful candidate will advise clients on various financial matters, manage client portfolios, and ensure compliance with regulatory standards. Candidates should hold a Level 4 Diploma and demonstrate strong communication skills, alongside a comprehensive understanding of industry legislation.

Qualifications

• Understanding of relevant legislation affecting the industry.
• Ability to compile reports.
• Good written and oral communication skills.

Responsibilities

• Prospecting and contacting potential clients.
• Managing portfolios according to the client’s mandate.
• Complying with the Financial Services and Markets Act 2000.

Skills

Communication

Client Management

Compliance

IT Skills

Education

Level 4 Diploma

Job description

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Our client is looking to welcome a Financial Adviser into their team in Cornwall, to advise clients as appropriate to their circumstances and objectives.

Specific responsibilities

• Prospecting and contacting potential clients in accordance with the firm’s business plan
• Ensuring sufficient client information is obtained before making recommendations
• Following relevant advice and sales procedures at all times
• Managing portfolios according to the client’s mandate, objectives, and the firm’s investment proposition
• Undertaking appropriate product and market research
• Making suitable recommendations at all times
• Maintaining all supporting documents
• Contacting clients in accordance with the agreed level of service
• Providing relevant documentation to clients promptly
• Dealing with client queries efficiently and promptly
• Treating clients fairly in line with “Treating Customers Fairly” principles
• Identifying clients in vulnerable circumstances and providing appropriate advice and services accordingly
• Holding a current statement of professional standing (SPS) at all times
• Maintaining relevant CPD and recording it accurately
• Maintaining performance standards as required by the firm
• Obtaining and maintaining the necessary competence level for the role
• Remaining “Fit & Proper” for the role

General responsibilities

• Following the firm’s compliance processes and procedures, including T&C, complaints, financial crime, anti-money laundering, anti-bribery, data security, data protection, conflicts of interest, inducements, record keeping, and best execution
• Responding to Compliance department requests promptly
• Complying with the Financial Services and Markets Act 2000, FCA’s Conduct rules, FCA Statements of Principles & Code of Practice, and other relevant FCA rules
• Maintaining a positive attitude
• Keeping up to date with regulatory, legislative, product, and technical requirements
• Conducting all client contact professionally and courteously
• Ensuring client files are compliant and records are retained according to policies
• Liaising with admin support, paraplanners, and team members appropriately

Relevant experience, skills, and knowledge

We expect the following from candidates:

• Understanding of relevant legislation affecting the industry
• Ability to understand the operating environment and its issues
• Good written and oral communication skills
• General IT skills
• Ability to compile reports

Qualification requirements

The minimum qualification is a “Level 4” Diploma, with the aim of achieving Chartered status.