Financial Adviser

1 month ago

Basingstoke, United Kingdom Artemis Recruitment Consultants Ltd Full time

Financial Services

Basingstoke

14/02/2024

Type of Position: Financial Adviser (Self-Employed) - Basingstoke
Pay: Self-Employed Package

**Financial Adviser (Self-Employed) - Basingstoke**:
Our client is looking to welcome a Financial Adviser into their team in Basingstoke, 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
- 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 client’s 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, and 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 your remain “Fit & Proper” for the role

**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 culture 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 it, and the issues this raises
- Good written / oral communication skills
- General IT skills
- Ability to compile reports

**Qualification requirements**

We expect an individual in this role to hold the following qualifications:

- The minimum level is “level 4” Diploma with the aim of achieving Chartered status

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