Financial Services Advisor

4 weeks ago

Liverpool, Liverpool, United Kingdom Artemis Recruitment Consultants Ltd Full time
Trainee Financial Adviser - Liverpool

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

Key Responsibilities:
  • Prospect and contact potential clients in accordance with our business plan
  • Ensure sufficient client information is obtained before making any recommendations
  • Follow relevant advice and sales procedures at all times
  • Manage client portfolios in accordance with their mandate, objectives, and our investment proposition
  • Undertake appropriate product and market research
  • Make suitable recommendations at all times
  • Maintain all supporting documents
  • Contact clients in accordance with the agreed level of services offered
  • Ensure clients receive relevant documentation in a timely manner
  • Deal with client queries in an efficient and timely manner
  • Ensure clients are treated fairly, in line with TCF principles
  • Identify clients who are in vulnerable or potentially vulnerable circumstances to provide appropriate advice
  • Hold a current statement of professional standing (SPS) at all times
  • Maintain and accurately record relevant CPD
  • Maintain all standards of performance as required by the firm
  • Obtain and maintain the level of competence as required by the firm
  • Maintain standards to ensure you remain Fit & Proper for the role
General Responsibilities:
  • Follow our compliance processes and procedures at all times, including T&C, complaints, financial crime, anti-money laundering, anti-bribery, data security, data protection, conflicts of interest, inducements, record keeping, best execution, etc.
  • Respond to all Compliance department requests on time
  • Comply 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
  • Maintain a positive culture attitude at all times
  • Keep up to date with relevant regulatory, product, legislative and technical requirements
  • Ensure all client contact is carried out in a professional and courteous manner
  • Maintain compliant client files on an ongoing basis
  • Retain client records in line with our Data security / data protection / record keeping policy
  • Liaise with admin support, Paraplanners, and other team members as appropriate
Requirements:
  • A good understanding and knowledge / awareness of relevant legislation that affects our industry/profession
  • The ability to understand the environment we operate in, and the issues this raises
  • Ability to compile reports
  • Previous experience within financial services
Qualifications:

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

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