Our client is looking to welcome a Financial Adviser into their team in Lewes, 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 - Making sure sufficient client information is obtained before any recommendation is made - Making sure you follow relevant advice and sales procedures at all times - Making sure portfolios are managed in accordance with the client’s mandate, objectives and the firm’s investment proposition - Undertaking appropriate product and market research - Making sure suitable recommendations are made at all times - Making sure all supporting documents are maintained - Making sure all clients are contacted in accordance with the agreed level of services offered - Making sure clients receive relevant documentation in a timely way - Dealing with client queries in an efficient and timely manner - Ensure that client’s are treated fairly, in line with “TCF” principles - Ensure that you can identify clients who are in vulnerable or potentially vulnerable circumstances, in order to treat them fairly, and provide appropriate advice and adapt the services/advice provided accordingly. - Making sure a current statement of professional standing (SPS) is held at all times - Making sure relevant CPD is maintained and recorded accurately - Maintaining all standards of performance as required by the firm - Obtaining and maintaining the level of competence as required by the firm - Maintaining standards to ensure your remain “Fit & Proper” for the role General responsibilities - Making sure you follow the firm’s compliance processes and procedures at all times for example; T&C, complaints, financial crime, anti-money laundering, anti-bribery, data security, data protection, conflicts of interest, inducements, record keeping, best execution etc. - Responding to all Compliance department requests on time - Complying with the Financial Services and Markets Act 2000, the FCA’s Conduct rules / FCA Statements of - Principle & Code of Practice and the relevant rules from the FCA at all times - Having a positive culture attitude at all times - Keeping up to date with relevant regulatory, product, legislative and technical requirements - Making sure all client contact is carried out in a professional and courteous way - Making sure all client files are compliant on an ongoing basis - Making sure all client records are retained 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 / awareness of relevant legislation that affects our industry/profession - The ability to take on and understand the environment we operate it, and the issues this raises - Good written / 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