Financial Adviser (Self-Employed) - London, Greater London
Client: [Client Name]
Location: Greater London, United Kingdom
Job Category: Finance
EU work permit required: Yes
Job Reference: a5b2c13bf046
Job Views: 7
Posted: 03.03.2025
Expiry Date: 17.04.2025
Job Description:
Financial Adviser (Self-Employed) - London
Our client is looking to welcome a Financial Adviser into their team in London, to advise clients as appropriate to their circumstances and objectives. You will be joining a well-established SJP practice on a self-employed basis. For this role, we are looking for a candidate with at least 2 years advising experience, from either an IFA or SJP background. Our client can offer salary advances whilst you build your client bank (bringing your own clients over is not essential for this role).
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
* 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 timely
* Ensuring clients are treated fairly, in line with “TCF” principles
* Identifying clients in vulnerable circumstances to provide appropriate advice
* Holding a current statement of professional standing (SPS) at all times
* Maintaining and recording relevant CPD accurately
* Maintaining all standards of performance as required by the firm
* Obtaining and maintaining the level of competence as 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 and the FCA’s Conduct rules
* Maintaining a positive culture attitude at all times
* Keeping up to date with relevant regulatory, product, legislative and technical requirements
* Carrying out all client contact in a professional and courteous way
* Ensuring all client files are compliant on an ongoing basis
* Retaining client records 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 of relevant legislation affecting our industry/profession
* The ability to understand the environment we operate in, 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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