Financial Adviser - Colchester
Type of Position: Financial Adviser - Colchester
Pay: £45k - £55k
Overview
Our client is looking to welcome a Financial Adviser into their team in Colchester, 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.
* Ensuring sufficient client information is obtained before any recommendation is made.
* Following relevant advice and sales procedures at all times.
* Managing portfolios in accordance with the client’s mandate, objectives, and the firm’s investment proposition.
* Undertaking appropriate product and market research.
* Making suitable recommendations at all times.
* Maintaining all supporting documents.
* Contacting clients in accordance with the agreed level of services offered.
* Ensuring clients receive relevant documentation in a timely manner.
* Dealing with client queries efficiently and promptly.
* Ensuring that clients are treated fairly, in line with “TCF” principles.
* Identifying clients who are in vulnerable or potentially vulnerable circumstances, providing appropriate advice and adapting services accordingly.
* Holding a current statement of professional standing (SPS) at all times.
* Maintaining and accurately recording relevant CPD.
* Meeting all performance standards required by the firm.
* Obtaining and maintaining the level of competence required by the firm.
* Ensuring you remain “Fit & Proper” for the role.
General Responsibilities
* Following the firm’s compliance processes and procedures at all times.
* Responding to all Compliance department requests on time.
* Complying with the Financial Services and Markets Act 2000, the FCA’s Conduct rules, and relevant FCA rules.
* Maintaining a positive culture attitude at all times.
* Keeping up to date with relevant regulatory, product, legislative, and technical requirements.
* Conducting all client contact in a professional and courteous manner.
* Ensuring all client files are compliant on an ongoing basis.
* Retaining all client records in line with the firm’s Data security, data protection, and 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:
* A good understanding and knowledge of relevant legislation affecting our industry/profession.
* The ability to understand the operating environment and the issues it raises.
* Good written and oral communication skills.
* General IT skills.
* 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.
If you are interested in this position, please email your CV to natalie@artemisrecruitment.co.uk.
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