Our client is looking to welcome a Financial Adviser into their team in Lewes to advise clients as appropriate to their circumstances and objectives.
Financial Adviser 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 clients 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, 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 you remain “Fit & Proper” for the role
Financial Adviser 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 cultural 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 in, and the issues this raises
* Good written/ oral communication skills
* General IT skills
* Ability to compile reports
Financial Adviser Qualification Requirements
We expect an individual in this role to hold the following qualifications:
* - The minimum level is a “Level 4” Diploma with the aim of achieving Chartered status