Financial Adviser - Tunbridge Wells
Our client is looking to welcome a Financial Adviser into their team in Tunbridge Wells, to advise clients as appropriate to their circumstances and objectives.
Specific responsibilities
1. Prospecting and contacting potential clients in accordance with the firm’s business plan.
2. Making sure sufficient client information is obtained before any recommendation is made.
3. Following relevant advice and sales procedures at all times.
4. Managing portfolios in accordance with the client’s mandate, objectives, and the firm’s investment proposition.
5. Undertaking appropriate product and market research.
6. Making suitable recommendations at all times.
7. Maintaining all supporting documents.
8. Contacting clients in accordance with the agreed level of services offered.
9. Ensuring clients receive relevant documentation in a timely manner.
10. Dealing with client queries efficiently and timely.
11. Ensuring clients are treated fairly, in line with “TCF” principles.
12. Identifying clients who are in vulnerable or potentially vulnerable circumstances to provide appropriate advice.
13. Holding a current statement of professional standing (SPS) at all times.
14. Maintaining and accurately recording relevant CPD.
15. Maintaining all standards of performance as required by the firm.
16. Ensuring competence as required by the firm.
17. Maintaining standards to ensure you remain “Fit & Proper” for the role.
General responsibilities
1. Following the firm’s compliance processes and procedures at all times.
2. Responding to all Compliance department requests on time.
3. Complying with the Financial Services and Markets Act 2000, the FCA’s Conduct rules, and relevant rules from the FCA.
4. Maintaining a positive culture attitude at all times.
5. Keeping up to date with relevant regulatory, product, legislative, and technical requirements.
6. Ensuring all client contact is professional and courteous.
7. Maintaining compliance of all client files on an ongoing basis.
8. Retaining client records in line with the firm’s data security and record keeping policy.
9. Liaising with admin support, Paraplanners, and other team members as appropriate.
Relevant experience, skills, and knowledge
1. A good understanding and knowledge of relevant legislation affecting our industry.
2. The ability to understand the operational environment and the issues it raises.
3. Good written and oral communication skills.
4. General IT skills.
5. Ability to compile reports.
Qualification requirements
1. 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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