Financial Adviser - Cornwall

Artemis Recruitment Consultants Ltd; England; On-site; GBP 30,000 - 70,000; Full time

Job summary

A leading recruitment consultancy is seeking a Financial Adviser to join their team in Cornwall. The role involves advising clients, managing portfolios, and maintaining compliance with industry regulations. Candidates should hold a Level 4 Diploma and demonstrate strong communication skills. This position allows for a flexible work environment and offers the opportunity to build a successful client base.

Qualifications

• The minimum level is 'level 4' Diploma with the aim of achieving Chartered status.
• A good understanding and knowledge / awareness of relevant legislation that affects our industry/profession.

Responsibilities

• Prospecting and contacting potential clients in accordance with the firm’s business plan.
• Ensuring clients receive appropriate advice based on their circumstances and objectives.
• Complying with relevant compliance processes and procedures at all times.

Skills

Good written communication skills

Good oral communication skills

General IT skills

Education

Level 4 Diploma

Job description

Type of Position: Financial Adviser - Cornwall
Pay: Self-Employed Package

Financial Adviser - Cornwall

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
• 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 your 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

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