Financial Services Consultant
1 month ago
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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