Financial Adviser

3 weeks 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 accordance with our business plan.
  2. Ensure sufficient client information is obtained before making any recommendations.
  3. Follow relevant advice and sales procedures at all times.
  4. Manage client portfolios in accordance with their mandate, objectives, and our investment proposition.
  5. Undertake appropriate product and market research.
  6. Make suitable recommendations at all times.
  7. Maintain all supporting documents.
  8. Contact clients in accordance with the agreed level of services offered.
  9. Provide clients with relevant documentation in a timely manner.
  10. Deal with client queries efficiently and effectively.
  11. Treat clients fairly, in line with 'TCF' principles.
  12. Identify clients who are in vulnerable or potentially vulnerable circumstances and provide appropriate advice and adapt the services/advice provided accordingly.
  13. Maintain a current statement of professional standing (SPS) at all times.
  14. Maintain relevant CPD and record it accurately.
  15. Maintain all standards of performance as required by the firm.
  16. Obtain and maintain the level of competence required by the firm.
  17. Maintain standards to ensure you remain 'Fit & Proper' for the role.
General Responsibilities:
  1. Follow our compliance processes and procedures at all times.
  2. Respond to all Compliance department requests on time.
  3. 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.
  4. Maintain a positive culture attitude at all times.
  5. Keep up to date with relevant regulatory, product, legislative and technical requirements.
  6. Ensure all client contact is carried out in a professional and courteous way.
  7. Ensure all client files are compliant on an ongoing basis.
  8. Ensure all client records are retained in line with our Data security / data protection / record keeping policy.
  9. Liaise with admin support, Paraplanners, and other team members as appropriate.
Requirements:
  1. A good understanding and knowledge / awareness of relevant legislation that affects our industry/profession.
  2. The ability to take on and understand the environment we operate in, and the issues this raises.
  3. Ability to compile reports.
  4. Previous experience within financial services.
Qualifications:

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

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