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Financial Service Adviser

4 months ago

North East England, United Kingdom in Tenerife Full time
This advertiser has chosen not to accept applicants from your region.

Ourclient is looking to welcome a Financial Adviser into their team inDurham, to advise clients as appropriate to their circumstances andobjectives.

Specific responsibilities
Prospecting and contacting potential clients in accordance with thefirm's business plan
Making sure sufficient clientinformation is obtained before any recommendation is made
Making sure you follow relevant advice and sales procedures at alltimes
Making sure portfolios are managed in accordance withthe 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 agreedlevel of services offered
Making sure clients receiverelevant documentation in a timely way
Dealing with clientqueries in an efficient and timely manner
Ensure thatclient's are treated fairly, in line with "TCF" principles

Ensure that you can identify clients who are in vulnerable orpotentially vulnerable circumstances, in order to treat them fairly,and provide appropriate advice and adapt the services/advice providedaccordingly.

Making sure a current statement ofprofessional standing (SPS) is held at all times
Makingsure 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 bythe firm
Maintaining standards to ensure your remain "Fit &Proper" for the role
General responsibilities

Making sure you follow the firm's complianceprocesses 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 departmentrequests on time
Complying with the Financial Services andMarkets Act 2000, the FCA's Conduct rules / FCA Statements ofPrinciple &
Code of Practice and the relevant rules fromthe FCA at all times
Having a positive culture attitude atall times
Keeping up to date with relevant regulatory,product, legislative and technical requirements
Making sureall client contact is carried out in a professional and courteous way
Making sure all client files are compliant on an ongoingbasis
Making sure all client records are retained in linewith the firm's Data security / data protection / record keepingpolicy
Liaising with admin support, Paraplanners, and otherteam members as appropriate
Relevant experience,skills and knowledge
We expect an individual performingthis role to have the following Experience, Skills, and knowledge:
A good understanding and knowledge / awareness of relevantlegislation that affects our industry/profession
Theability to take on and understand the environment we operate it, andthe issues this raises
Ability to compilereports
Qualification requirements
We expect an individual in this role to hold the followingqualifications:
~ The minimum level is "level 4" Diploma withthe aim of achieving Chartered status

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