Type of Position: Financial Adviser (Self-Employed) - Dorking
Pay: Self-Employed Package
Financial Adviser (Self-Employed) - Dorking
Our client is looking to welcome a Financial Adviser into their team in Dorking, 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 promptly
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. Obtaining and maintaining the level of competence as required by the firm
17. Ensuring you remain “Fit & Proper” for the role
General responsibilities
1. Following the firm’s compliance processes and procedures at all times, including T&C, complaints, financial crime, anti-money laundering, anti-bribery, data security, data protection, conflicts of interest, inducements, record keeping, best execution, etc.
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 the relevant rules from the FCA at all times
4. Maintaining a positive culture attitude
5. Keeping up to date with relevant regulatory, product, legislative, and technical requirements
6. Carrying out all client contact in a professional and courteous manner
7. Ensuring all client files are compliant on an ongoing basis
8. Retaining all client records in line with the firm’s Data security, data protection, and record keeping policy
9. 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 affecting our industry/profession
* The ability to understand the environment we operate in and the issues this 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.
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