Financial Adviser (Self-Employed) - London

Artemis Recruitment Consultants Ltd; London; On-site; GBP 35,000 - 55,000; Full time

Job summary

A leading company in London seeks a self-employed Financial Adviser to guide clients based on their unique circumstances and objectives. The successful candidate will manage client portfolios and ensure compliance with relevant regulations while joining a supportive practice. Candidates should possess a Level 4 Diploma and have at least two years of advising experience, alongside excellent client management skills. This role offers flexibility while building a client base and contributing to a reputable firm.

Qualifications

• Minimum Level 4 Diploma required.
• At least 2 years advising experience from IFA or SJP.
• Understanding of industry legislation and compliance.

Responsibilities

• Prospecting and contacting potential clients per the business plan.
• Ensuring client information is gathered before recommendations.
• Maintaining compliance with financial regulations.

Skills

Client Management

Compliance Knowledge

Financial Planning

Education

Level 4 Diploma

Job description

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09/03/2025

Type of Position: Financial Adviser (Self-Employed) - London
Pay: Self-Employed Package

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

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
• 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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