FINANCIAL ADVISER (SELF-EMPLOYED) - LOCKINGTON

The JobsBoard; Lockington; Hybrid; GBP 50,000 - 75,000; Full time

Job summary

The JobsBoard is seeking a Financial Adviser (self-employed) for a client based in Lockington with hybrid working options. You will advise clients in line with their circumstances and objectives, and operate within regulatory requirements.

You will prospect for new clients, gather necessary information, adhere to procedures, and manage portfolios in line with the firm's investment proposition. A Level 4 Diploma and CPD are expected.

Qualifications

• Understanding of relevant legislation affecting the industry.
• Ability to understand and navigate the working environment and its issues.
• Strong written and oral communication skills.
• General IT skills.
• Ability to compile reports.

Responsibilities

• Prospecting and contacting potential clients in accordance with the firm's business plan.
• Obtaining sufficient client information before any recommendation is made.
• Following relevant advice and sales procedures at all times.
• Managing portfolios in accordance with client mandates and investment proposition.
• Undertaking appropriate product and market research and making suitable recommendations.
• Maintaining supporting documents and client communications.
• Ensuring compliance with firm processes and FCA rules at all times.
• Responding to Compliance requests on time.
• Keeping client records compliant and data protected.
• Liaising with admin support and paraplanners as appropriate.

Skills

Regulatory awareness

Communication skills

Industry environment understanding

General IT skills

Report writing

Education

Level 4 Diploma

Job description

FINANCIAL ADVISER (SELF-EMPLOYED) - LOCKINGTON

Our client is looking to welcome a Financial Adviser into their team, to advise clients as appropriate to their circumstances and objectives. This is a self-employed position, working for our client based in Lockington - hybrid working is available.

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