Data Protection jobs in United Kingdom

Type of Position: Financial Adviser (IFA) - London, Harrow

Our client is looking to welcome a Financial Adviser to their team based in Harrow. This is an office-based opportunity with high earning potential. You will 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 at all times.
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 consistently.
7. Maintaining all supporting documentation.
8. Contacting clients as per the agreed service levels.
9. Providing clients with relevant documentation promptly.
10. Handling client queries efficiently and promptly.
11. Treating clients fairly in accordance with "Treating Customers Fairly" principles.
12. Identifying vulnerable clients and providing appropriate advice and services.
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 competence and ensuring fitness and propriety for the role.

General responsibilities include:

1. Following all compliance processes and procedures, including T&Cs, complaints, financial crime, anti-money laundering, data security, and record keeping.
2. Responding to compliance requests timely.
3. Adhering to the Financial Services and Markets Act 2000, FCA conduct rules, and relevant regulations.
4. Maintaining a positive professional attitude.
5. Staying updated with regulatory, legislative, and technical requirements.
6. Ensuring professional and courteous client interactions.
7. Keeping client files and records compliant and secure.
8. Collaborating with support staff and team members.

Experience, Skills, and Knowledge required:

• Understanding of relevant legislation affecting the industry.
• Ability to operate effectively within the industry environment.
• Report compilation skills.

Qualification requirements:

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

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