Trainee Financial Adviser - Preston

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

Job summary

Artemis Recruitment Consultants Ltd is seeking a Trainee Financial Adviser in Preston. The ideal candidate will advise clients based on their objectives while adhering to compliance processes. Responsibilities include client prospecting and managing portfolios, ensuring a high standard of customer service and regulatory compliance.

Qualifications

• Understanding of relevant legislation affecting the industry.
• Previous experience in financial services preferred.
• Report compilation skills are essential.

Responsibilities

• Prospecting and contacting potential clients as per the firm’s business plan.
• Managing portfolios in line with client mandates.
• Conducting product and market research.

Skills

Understanding of relevant legislation

Ability to understand operational environment

Report compilation skills

Previous experience in financial services

Education

Minimum Level 4 Diploma

Job description

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

Trainee Financial Adviser - Preston

Our client is seeking a Trainee Financial Adviser in Preston to advise clients according to their circumstances and objectives.

Responsibilities include:

1. Prospecting and contacting potential clients as per the firm’s business plan
2. Gathering sufficient client information before making recommendations
3. Following relevant advice and sales procedures consistently
4. Managing portfolios in line with client mandates, objectives, and the firm's investment proposition
5. Conducting product and market research
6. Making suitable recommendations at all times
7. Maintaining all supporting documents
8. Contacting clients as per the agreed service levels
9. Providing clients with relevant documentation promptly
10. Handling client queries efficiently and promptly
11. Ensuring clients are treated fairly according to “Treating Customers Fairly” principles
12. Identifying vulnerable clients and providing appropriate advice and services accordingly
13. Maintaining a current Statement of Professional Standing (SPS)
14. Keeping relevant Continuing Professional Development (CPD) records
15. Upholding performance standards required by the firm
16. Maintaining necessary competence levels
17. Remaining “Fit & Proper” for the role

General responsibilities include:

1. Adhering to all compliance processes and procedures (e.g., T&C, complaints, AML, data security, conflicts of interest, record keeping, best execution)
2. Responding promptly to compliance requests
3. Complying with the Financial Services and Markets Act 2000, FCA rules, and relevant regulations
4. Maintaining a positive and professional attitude
5. Staying updated on regulatory, legislative, and technical requirements
6. Ensuring professional and courteous client interactions
7. Keeping client files compliant and records secure as per policies
8. Collaborating with admin support, paraplanners, and team members

Experience, skills, and knowledge required:

• Understanding of relevant legislation affecting the industry
• Ability to understand the operational environment and related issues
• Report compilation skills
• Previous experience in financial services

Qualification requirements:

• Minimum Level 4 Diploma, with the goal of achieving Chartered status