Financial Adviser (IFA) - London, Harrow

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Harrow

02/02/2025

Type of Position: Financial Adviser (IFA) - London, Harrow
Pay: £45k

Financial Adviser (IFA) - London, Harrow

Our client is looking to welcome a Financial Adviser on their team based in Harrow. This will be an office-based opportunity with a high earning potential. You will 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
• 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
• Making suitable recommendations at all times
• Maintaining all supporting documents
• Contacting clients in accordance with the agreed level of services offered
• Ensuring clients receive relevant documentation in a timely manner
• Dealing with client queries efficiently and promptly
• Ensuring that clients are treated fairly, in line with “TCF” principles
• Identifying clients who are in vulnerable or potentially vulnerable circumstances, to provide appropriate advice
• Holding a current statement of professional standing (SPS) at all times
• Maintaining and accurately recording relevant CPD
• Upholding all standards of performance as required by the firm
• Obtaining and maintaining the level of competence as required by the firm
• Ensuring you remain “Fit & Proper” for the role

General responsibilities

• Following the firm’s compliance processes and procedures at all times
• Responding to all Compliance department requests on time
• Complying with the Financial Services and Markets Act 2000, the FCA’s Conduct rules, and relevant FCA rules
• Maintaining a positive culture attitude at all times
• Keeping up to date with relevant regulatory, product, legislative, and technical requirements
• Carrying out all client contact in a professional and courteous manner
• Ensuring all client files are compliant on an ongoing basis
• Retaining all client records in line with the firm’s data security and protection 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 of relevant legislation affecting our industry
• The ability to understand the environment we operate in and the issues it raises
• 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