Financial Adviser

1 month ago

Preston, Lancashire, United Kingdom Artemis Recruitment Consultants Ltd Full time
Trainee Financial Adviser - Cumbria

We are seeking a highly motivated and ambitious individual to join our team as a Trainee Financial Adviser in Cumbria. As a Trainee Financial Adviser, you will play a key role in advising clients on their financial needs and objectives.

Key Responsibilities:
  1. Prospect and contact potential clients in line with our business plan.
  2. Ensure sufficient client information is obtained before making any recommendations.
  3. Adhere to relevant advice and sales procedures at all times.
  4. Manage client portfolios in accordance with their mandate, objectives, and our investment proposition.
  5. Conduct thorough product and market research.
  6. Make suitable recommendations at all times.
  7. Maintain accurate records and supporting documents.
  8. Ensure timely communication with clients in line with agreed service levels.
  9. Address client queries efficiently and effectively.
  10. Treat clients fairly, adhering to 'TCF' principles.
  11. Identify vulnerable clients and provide tailored advice and services.
  12. Maintain a current Statement of Professional Standing (SPS) at all times.
  13. Complete relevant Continuing Professional Development (CPD) and record it accurately.
  14. Meet performance standards as required by the firm.
  15. Hold the necessary level of competence as required by the firm.
  16. Ensure 'Fit & Proper' standards are maintained.
General Responsibilities:
  1. Comply with our compliance processes and procedures at all times.
  2. Respond to Compliance department requests in a timely manner.
  3. Adhere to the Financial Services and Markets Act 2000, FCA Conduct rules, and relevant FCA rules.
  4. Maintain a positive culture attitude at all times.
  5. Stay up-to-date with regulatory, product, legislative, and technical requirements.
  6. Communicate with clients in a professional and courteous manner.
  7. Ensure client files are compliant on an ongoing basis.
  8. Retain client records in line with our Data security / data protection / record keeping policy.
  9. Liaise with admin support, Paraplanners, and other team members as necessary.
Requirements:

We expect the successful candidate to possess:

  1. A good understanding of relevant legislation affecting our industry.
  2. The ability to adapt to our environment and address related issues.
  3. Report compilation skills.
  4. Previous experience within financial services.

We require the successful candidate to hold the following qualifications:

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