Type of Position: Trainee Financial Adviser - Leeds
Pay: £24k - £30k
Trainee Financial Adviser - Leeds
Our client is looking to welcome a Trainee Financial Adviser into their team in Leeds, 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
* 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 promptly
* Ensuring clients are treated fairly, in line with “TCF” principles
* Identifying clients who are in vulnerable or potentially vulnerable circumstances to provide appropriate advice
* Holding a current statement of professional standing (SPS) at all times
* Maintaining and accurately recording relevant CPD
* Maintaining all standards of performance as required by the firm
* Obtaining and maintaining the level of competence 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, including 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, and the relevant rules from the FCA at all times
* Maintaining a positive culture attitude
* Keeping up to date with relevant regulatory, product, legislative and technical requirements
* Ensuring all client contact is carried out professionally and courteously
* Maintaining ongoing compliance of all client files
* Retaining all client records in line with the firm’s Data security, data protection, and record keeping policy
* Liaising with admin support, Paraplanners, and other team members as appropriate
Relevant experience, skills and knowledge
* A good understanding and awareness of relevant legislation affecting our industry/profession
* The ability to understand the operating environment and the issues it raises
* Ability to compile reports
* Previous experience within financial services
Qualification requirements
* The minimum level is “level 4” Diploma with the aim of achieving Chartered status
#J-18808-Ljbffr