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Financial Adviser - Harrogate

Financial Adviser - Harrogate
Artemis Recruitment Consultants
Harrogate
GBP 30.000 - 60.000
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Financial Adviser - Harrogate

Artemis Recruitment Consultants
Harrogate
GBP 30.000 - 60.000
Descripción del empleo

Social network you want to login/join with:

Financial Adviser - Harrogate, Harrogate

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Client:
Location:

Harrogate, United Kingdom

Job Category:

Other

-

EU work permit required:

Yes

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Job Reference:

2e339104493d

Job Views:

9

Posted:

15.06.2025

Expiry Date:

30.07.2025

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Job Description:

Financial Adviser - Harrogate

Our client is looking to welcome a Financial Adviser on their team based in Harrogate. This will be a self-employed opportunity with a high earning potential. You will be 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

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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* El índice de referencia salarialse calcula en base a los salarios que ofrecen los líderes de mercado en los correspondientes sectores. Su función es guiar a los miembros Prémium a la hora de evaluar las distintas ofertas disponibles y de negociar el sueldo. El índice de referencia no es el salario indicado directamente por la empresa en particular, que podría ser muy superior o inferior.

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