Independent Financial Advisor
Found in: beBee jobs GB - 2 weeks ago
FCA Individual Conduct Rules:
Act with integrity.
Act with due care, skill, and diligence.
Be open and cooperative with regulators.
Pay due regard to customer interests and treat them fairly.
Observe proper standards of market conduct.
Role Specification:
Key
Responsibilities:
Possess detailed knowledge of FCA rules related to pension, investment, estate planning, and protection advice.
Ensure compliance with the Financial Services and Markets Act 2000, FCA Principles, and Individual Conduct Rules.
General
Responsibilities:
Conduct 'Know Your Customer' inquiries, establishing client contact and gathering necessary information.
Accurately analyze client data, research suitable investments independently, and present advice concisely.
Complete documentation thoroughly, ensuring suitability letters cover FCA guidance/rules.
Advise clients on personal investments, including retirement income planning.
Monitor portfolios per client objectives, restrictions, and risk profiles.
Attend internal and external meetings, maintain client relationships, and develop new connections.
Implement anti-money laundering procedures and ensure accurate record-keeping.
Compliance, Risk, Governance, and Legal:
Act in accordance with FCA's principles and code of practice.
Manage risk and adhere to compliance procedures, including FCA rules and HMRC requirements.
Project Management:
Identify areas for development and contribute to projects as required.
Manage Own Competence - Continued Professional Development (CPD):
Ensure relevant CPD to maintain competence.
Manage career development and stay updated on industry knowledge.
Attend and contribute to relevant industry groups and forums.
Job Requirements:
Professional Qualification/Education Level:
APFS or ACII or equivalent.
Experience:
Proven experience as an FCA Approved Wealth Manager.
Knowledge:
Working knowledge of FCA and HMRC regulations.
Note:
(E) indicates essential requirements.
Let me know if there's anything more specific you'd like to include or any specific aspects you'd like to focus on further.
-
Trainee Financial Advisor
5 days ago
Tamworth, United Kingdom Finlink Ltd Full timeAn excellent opportunity for somebody to join an independent, forward thinking financial planning firm in a period of growth as a Financial Advisor. The company are looking for someone who has already begun their journey in Financial Services, achieved their Level 4 Diploma and looking to advance their career. Perhaps you are a newly qualified advisor in...
-
Independent Financial Advisor
Found in: beBee S GB - 2 weeks ago
Tamworth, United Kingdom redwigwam Full timeFCA Individual Conduct Rules: Act with integrity.Act with due care, skill, and diligence.Be open and cooperative with regulators.Pay due regard to customer interests and treat them fairly.Observe proper standards of market conduct.Role Specification: Key Responsibilities: Possess detailed knowledge of FCA rules related to pension, investment, estate...
-
HR Advisor
4 days ago
Tamworth, United Kingdom Radis Full timeSalary: £27k - 31k per year Reference: 203574 HR Advisor Radis Community Care have an opportunity for an experienced HR Advisor to join our team based at Radis head office in Tamworth. Our Head Office is based at Mercia House in Tamworth and we have 90+ sites across England and Wales. About the role As a HR Advisor you will be working closely alongside...
-
Sales Advisor
1 week ago
Tamworth, United Kingdom Bellway Full timeAt Bellway we recognise that people are the key to our success, and we are committed to building an inclusive culture that values and respects difference combined with creating a safe and inclusive working environment for all colleagues. This means we are positive about making adjustments as well as providing flexible working and we would be happy to talk to...
-
Senior Customer Service Advisor
17 hours ago
Tamworth, United Kingdom Cast UK Limited Full timeSenior Customer Service Advisor Tamworth Competitive Salary & Benefits Role Profile: Cast UK are supporting Bunzl Catering Supplies with the recruitment process of a Senior Customer Service Advisor to join our team in Tamworth. This is an excellent opportunity for an enthusiastic individual who is passionate about delivering exceptional customer service...
-
HR Advisor
7 days ago
Tamworth, Staffordshire, United Kingdom Page Personnel Sales Full timeAbout Our Client A renowned name in the commercial sector. With a strong focus on innovation, the company operates in numerous locations, including Tamworth. Job Description Implement HR strategies and initiatives aligned with the overall business strategy Manage ER issues Manage the recruitment process, from job posting to interviewing and hiring ...
-
Senior Customer Service Advisor
Found in: Whatjobs ES C2 - 1 day ago
Tamworth, United Kingdom Cast UK Limited Full timeSenior Customer Service AdvisorTamworthCompetitive Salary & BenefitsRole Profile:Cast UK are supporting Bunzl Catering Supplies with the recruitment process of a Senior Customer Service Advisor to join our team in Tamworth. This is an excellent opportunity for an enthusiastic individual who is passionate about delivering exceptional customer service to be...
-
Site Financial Controller
2 weeks ago
Tamworth, Staffordshire, United Kingdom Marks Sattin Ltd Full timeMarks Sattin are working in partnership wih a global manufacturing organisation to recruit a Site Financial Controller for their site in the North Warwickshire region. The position is a site based role, so appliciants must be within a commutable distance from the site. Reporting to the European Finance Director, the Site Finance Controller will be the...
-
Parish Finance Officer
1 day ago
Tamworth, United Kingdom St. Editha's Church, Tamworth Full time**Parish Finance Officer** The Parish of Tamworth is the Church of England in Tamworth, comprising the churches of St. Editha (Tamworth), St. Chad (Hopwas), St. Andrew (Kettlebrook) and St. Francis (Leyfields). Our parish covers the whole town of Tamworth and some outlying areas, a population of about 25000 people. The church has been working in Tamworth...
-
Vehicle Technician
Found in: Talent UK C2 - 1 week ago
Tamworth, United Kingdom Jardine Motors Group Full timeOverview of role Do you enjoy a challenge? Are you passionate about cars and thrive on finding solutions to problems in an efficient and effective way? If so, you’ll be a perfect fit at Jardine Motors Group. JMG Technicians play a critical role to keep our customers’ cars on the road and deliver exceptional service experiences. JMG will...
-
Recovery Claims Handler
5 days ago
Tamworth, United Kingdom Gallagher Full time**Role**: Recovery Claims Handler **Intro Section**: Strata Solicitors have an opportunity for someone talented and committed to join our successful and growing niche law firm, providing quality market-leading, legal, claims, and business services and solutions to the UK’s largest and most prestigious companies. Empowered by our supportive, flexible and...
-
Litigation Handler
1 day ago
Tamworth, United Kingdom Gallagher Full timeLitigation Handler **Intro Section**: Strata Solicitors have an opportunity for someone talented and committed to join our successful and growing niche law firm, providing quality market-leading, legal, claims, and business services and solutions to the UK’s largest and most prestigious companies. Empowered by our supportive, flexible and quality led...
-
Trainee Claims Handler
5 days ago
Tamworth, United Kingdom Strata Solicitors Limited Full timeStrata Solicitors have an opportunity for someone talented and committed to join our successful and growing niche law firm, providing quality market-leading, legal, claims, and business services and solutions to the UK’s largest and most prestigious companies. Empowered by our supportive, flexible and quality led culture, our comprehensive training,...
-
Claims Handler
12 hours ago
Tamworth, United Kingdom Strata Solicitors Limited Full timeStrata Solicitors have an opportunity for someone talented and committed to join our successful and growing niche law firm, providing quality market-leading, legal, claims, and business services and solutions to the UK’s largest and most prestigious companies. Empowered by our supportive, flexible and quality led culture, our comprehensive training,...