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Financial Adviser (Self-Employed) - Dorking, Surrey
Client:
Location:
Surrey, United Kingdom
Job Category:
Finance
EU work permit required:
Yes
Job Reference:
ef239739c375
Job Views:
6
Posted:
03.03.2025
Expiry Date:
17.04.2025
Job Description:
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. Ensuring 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. Providing clients with relevant documentation in a timely manner
10. Efficiently dealing with client queries
11. Ensuring clients are treated fairly, in line with “TCF” principles
12. Identifying clients who are in vulnerable or potentially vulnerable circumstances, providing appropriate advice and adapting services/advice accordingly
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 / FCA Statements of Principle & Code of Practice and the relevant rules from the FCA at all times
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 carried out in a professional and courteous manner
7. Maintaining compliance of all client files on an ongoing basis
8. Retaining all client records in line with the firm’s data security / data protection / 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:
1. A good understanding and knowledge / awareness of relevant legislation that affects our industry/profession
2. The ability to understand the environment we operate in and the issues this raises
3. Good written / oral communication skills
4. General IT skills
5. Ability to compile reports
Qualification requirements
We expect an individual in this role to hold the following qualifications:
1. The minimum level is “level 4” Diploma with the aim of achieving Chartered status
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