Liverpool Trainee Advisor Role
2 months ago
Join our dynamic team as a Trainee Financial Adviser in Liverpool and embark on an exciting career in wealth management.
This role offers the opportunity to work with a leading financial services company and develop your skills and expertise in a supportive and collaborative environment.
- Maintaining all client contact is carried out in a professional and courteous manner.
- The ability to ensure clients receive relevant documentation in a timely manner is also essential.
Key Responsibilities:
This role involves working closely with clients to understand their needs and providing tailored advice and solutions.
Key responsibilities include:
- Following the firm's 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.
- 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
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 understand the environment we operate in, and the issues this raises
Qualification requirements:
We expect an individual in this role to hold the following qualifications:
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