Financial Adviser

4 days ago


London, Greater London, United Kingdom Artemis Recruitment Consultants Ltd Full time
Job Description

We are seeking a skilled Financial Adviser to join our team in London on a self-employed basis.

The ideal candidate will have experience in advising clients as appropriate to their circumstances and objectives, with a strong understanding of the financial services industry.

Key Responsibilities:

  • Prospecting and contacting potential clients in accordance with our business plan
  • Making sure sufficient client information is obtained before any recommendation is made
  • FOLLOWING RELEVANT ADVICE AND SALES PROCEDURES AT ALL TIMES
  • Managing portfolios in accordance with the client's mandate, objectives, and our investment proposition
  • Undertaking appropriate product and market research
  • Making suitable recommendations at all times
  • Maintaining all supporting documents
  • Contacting clients in accordance with the agreed level of services offered
  • Ensuring clients receive relevant documentation in a timely manner
  • Dealing with client queries efficiently and timely
  • Ensuring clients are treated fairly, in line with "TCF" principles
  • Identifying clients who are in vulnerable or potentially vulnerable circumstances, in order to treat them fairly and provide appropriate advice
  • Holding a current statement of professional standing (SPS) at all times
  • Maintaining and recording relevant CPD accurately
  • Maintaining all standards of performance as required by us
  • Obtaining and maintaining the level of competence as required by us
  • Ensuring you remain "Fit & Proper" for the role

Compliance Responsibilities:

  • FOLLOWING OUR COMPLIANCE PROCESSES AND PROCEDURES AT ALL TIMES, FOR EXAMPLE; T&C, COMPLAINTS, FINANCIAL CRIME, ANTI-MONEY LAUNDERING, ANTI-BRIBERY, DATA SECURITY, DATA PROTECTION, CONFLICTS OF INTEREST, INDEMNITIES, RECORD KEEPING, BEST EXECUTION, ETC.
  • Responding to all Compliance department requests on time
  • 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
  • Maintaining a positive culture attitude at all times
  • Keeping up to date with relevant regulatory, product, legislative, and technical requirements
  • Ensuring all client contact is carried out in a professional and courteous way
  • Maintaining compliant client files on an ongoing basis
  • Retaining all client records in line with our Data security / data protection / record keeping policy
  • Liaising with admin support, Paraplanners, and other team members as appropriate


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