Trainee Financial Adviser - Cheshire

Artemis Recruitment Consultants Ltd; England; On-site; GBP 24,000 - 30,000; Full time

Job summary

A leading financial services firm is seeking a Trainee Financial Adviser in Cheshire to engage with clients and provide tailored advice. The role emphasizes compliance and continual professional development, requiring a Level 4 Diploma and a commitment to advancing towards Chartered status. Ideal candidates will have previous experience in the financial sector and a solid understanding of relevant legislation.

Qualifications

• Minimum Level 4 Diploma with the aim of achieving Chartered status.
• Good understanding of financial legislation.
• Previous experience in financial services is preferred.

Responsibilities

• Advise clients based on their circumstances.
• Follow compliance protocols and maintain client records.
• Engage with clients to ensure fair treatment.

Skills

Understanding legislation

Report compilation

Client relations

Time management

Education

Level 4 Diploma

Job description

Type of Position: Trainee Financial Adviser - Cheshire
Pay: £24k - £30k

Trainee Financial Adviser - Cheshire

Our client is looking to welcome a Trainee Financial Adviser into their team in Cheshire, 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
• Ability to compile reports
• Previous experience within financial services
  

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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