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Financial Adviser

4 months ago

Southampton, United Kingdom Artemis Recruitment Consultants Ltd Full time

Our client is looking to welcome a Financial Adviser into their team in London, 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, bestexecution 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