Financial Advisor

2 weeks ago

Northampton, United Kingdom Nelson Scott LLP Full time

**To competently provide financial advice, to clients within FCA rules and the firm’s procedures, and to work on strategy in this fast-growing business. Responsibilities**

Personal Attributes
- Passionate about lifestyle-focused wealth management, using a holistic approach that is focused on solutions, not products.
- An experienced, fully-qualified financial adviser, ideally a Chartered Financial Planner with the CII (or equivalent).
- Entrepreneurial, and comfortable with autonomy in building client relationships and giving wealth management advice.
- A superb communicator, who can listen to and understand our clients’ goals, and explain complex wealth management solutions clearly.
- Able to get on with anyone, empathise, and maintain long-term relationships with clients and colleagues.
- A strategic thinker, able to work on business strategy and development as well as wealth management and financial planning.
- Impeccably attentive to detail and consistent in their work.
- Keep up-to-date with new product, technical or legislative changes within the marketplace.
- Comply at all times with the Compliance and Training and Competence Procedures of the firm.
- Comply at all times with the requirements of the Financial Services and Markets Act 2000, and the FCA Principles, Rules and the Code of Practice for Approved Persons.
- To maintain a Statement of Professional Standing from an approved Accredited Body at all times.

**Specific**
- Build client relationships, principally within the existing client bank, but also with clients referred through the firm's joint-ventures, and new clients.
- Service these client relationships with wealth management and financial planning advice and updates.
- Build upon and strengthen current relationships with solicitors and accountancy firms.
- Autonomously manage their own day-to-day work and strategy, with no arbitrary daily targets.
- Develop quickly towards handling the firm's top clients, in the meritocratic and supportive environment
- Assist the director in strategies to grow the business, particularly at the firm's top service level.
- Be supported by an experienced Paraplanner and client relationship executives
- Continue their professional development through qualifications with the firm's support, and working alongside our experienced directors.
- Identify and contact potential clients. Gather sufficient client information and identify client needs.
- Analyse information gathered and undertake sufficient research to make suitable recommendations.
- Complete all supporting documentation in an accurate manner.
- Attain and maintain competent status as defined by FCA and the firm.
- Maintain performance standards in accordance with those outlined in the Key Performance Indicators section of the Training and Competence procedures.
- Via self-assessment and feedback, identify Continuing Professional Development (CPD) needs to maintain and enhance Competent status and undertake appropriate activity to meet those needs. A minimum of 35 hours per annum of CPD is required, 21 hours of whichmust fall in to the definition of Structured CPD.
- Diploma qualified, plus some advanced exams.
- Detailed knowledge of FCA and the firm’s record keeping requirements.
- 3 years’ experience of giving financial advice.

**Qualifications/Knowledge/Experience required Essential**:

- Diploma qualified, plus some advanced exams.
- Detailed knowledge of FCA and the firm’s record keeping requirements.
- 3 years’ experience of giving financial advice.

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