Financial Services Consultant

1 month ago


Basingstoke, Hampshire, United Kingdom Artemis Recruitment Consultants Ltd Full time

Artemis Recruitment Consultants Ltd

We are seeking an experienced Financial Adviser to join our team in Basingstoke.

Key Responsibilities:

  • Prospecting and contacting potential clients in accordance with the firm's business plan.
  • Maintaining accurate client information before making recommendations.
  • FOLLOWING relevant advice and sales procedures at all times.
  • Managing portfolios in accordance with client mandates, objectives, and the firm's investment proposition.
  • Undertaking appropriate product and market research.
  • Making suitable recommendations at all times.
  • Maintaining supporting documents.
  • Contacting clients in accordance with agreed service levels.
  • Ensuring timely delivery of relevant documentation.
  • Dealing with client queries efficiently and promptly.
  • Treating clients fairly, adhering to TCF principles.
  • Identifying vulnerable or potentially vulnerable clients for tailored advice.
  • Maintaining a current Statement of Professional Standing (SPS).
  • Recording relevant CPD accurately.
  • Maintaining performance standards as required by the firm.
  • Achieving required competence as specified by the firm.
  • Ensuring 'Fit & Proper' standards are maintained.

General Responsibilities:

  • FOLLOWING firm compliance processes and procedures, including 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 Compliance department requests on time.
  • Complying with the Financial Services and Markets Act 2000, FCA Conduct Rules / FCA Statements of Principle & Code of Practice, and relevant FCA rules.
  • Maintaining a positive culture attitude at all times.
  • Staying up-to-date with regulatory, product, legislative, and technical requirements.
  • Carrying out professional and courteous client contact.
  • Maintaining ongoing compliance of client files.
  • Retaining client records in line with the firm's Data Security / Data Protection / Record-Keeping policy.
  • Liaising with admin support, Paraplanners, and other team members as appropriate.

Salary Estimate: £45,000 - £65,000 per annum, based on experience.



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