Financial Adviser (Self-Employed) - London

Artemis Recruitment Consultants; Greater London; On-site; GBP 40,000 - 60,000; Full time

Job summary

A recruitment firm is seeking a Financial Adviser in London. This role is self-employed and involves advising clients based on their circumstances. The ideal candidate has at least 2 years of experience and a Level 4 Diploma aiming for Chartered status. You will manage client portfolios, ensure compliance, and maintain high standards of professionalism. A supportive environment with opportunities for salary advances is provided while you build your client base.

Qualifications

• At least 2 years of advising experience from IFA or SJP background.
• Good understanding of relevant legislation affecting the profession.
• Ability to identify vulnerable clients and provide appropriate advice.

Responsibilities

• Prospect and contact potential clients.
• Follow relevant advice and sales procedures.
• Manage client portfolios in line with mandates.
• Maintain compliance with firm’s processes.

Skills

Communication skills

IT skills

Knowledge of legislation

Ability to compile reports

Education

Level 4 Diploma aiming for Chartered status

Job description

Financial Adviser (Self-Employed) - London

Our client is looking to welcome a Financial Adviser into their team in London, to advise clients as appropriate to their circumstances and objectives. You will be joining a well-established SJP practice on a self-employed basis. For this role, we are looking for a candidate with at least 2 years advising experience, from either an IFA or SJP background. Our client can offer salary advances whilst you build your client bank (bringing your own clients over is not-essential for this role).

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

• 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

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